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Ben A Roth
BEN ALLEN ROTH
CRD#: 1080792
IA
B
NEWEDGE ADVISORSCRD#: 171351 8235 Douglas Ave, Ste 225
Dallas, TX 75225
Dallas, TX 75225
NEWEDGE SECURITIES, LLCCRD#: 10674 8235 Douglas Ave, Ste 225
Dallas, TX 75225
Dallas, TX 75225
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9/12/2003
Customer Dispute
Settled
2/2/2001
Customer Dispute
Denied
1/29/1999
Customer Dispute
Settled
State Registrations
B
Texas 6/7/2024
IA
Texas 6/7/2024
SRO Registrations
B
B
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Learn about permitted activities of registered principals
IA
Registered with this firm since 6/7/2024
B
Registered with this firm since 6/7/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/22/1996 - 06/08/2024 | DALLAS, TX | |
B | 07/19/1996 - 06/08/2024 | DALLAS, TX | |
B | 10/28/1992 - 08/09/1996 | ||
B | 10/13/1987 - 10/29/1992 | NEW YORK, NY | |
B | 01/19/1983 - 10/20/1987 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.