Individual Firm
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CHRISTOPHER JOHN ROTH
CHRIS JOHN ROTH, CHRIS ROTH
CRD#: 1753959
IA
B
ESI FINANCIAL ADVISORSCRD#: 265 675 THIRD AVENUE
SUITE 900
NEW YORK, NY 10017
SUITE 900
NEW YORK, NY 10017
0
Disclosures
36
Years of Experience
View By:
State Registrations
B
Arkansas 6/12/2020
B
New York 10/1/1998
B
Colorado 2/16/2021
IA
New York 6/22/2021
B
Connecticut 10/12/1998
B
North Carolina 1/17/2014
B
Florida 1/11/2000
B
Pennsylvania 12/9/2004
B
Maine 10/6/2008
B
South Carolina 8/1/2023
B
Maryland 5/22/2023
B
Texas 2/2/2021
B
New Hampshire 6/29/2021
B
Utah 1/17/2014
B
New Jersey 10/1/1998
B
Virginia 9/16/2008
IA
New Jersey 2/26/2020
B
Washington 3/11/2019
SRO Registrations
B
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IA
Registered with this firm since 2/26/2020
B
Registered with this firm since 10/1/1998
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/27/1998 - 09/10/1998 | NEW YORK, NY | |
B | 10/22/1997 - 07/21/1998 | DES MOINES, IA | |
B | 01/11/1991 - 10/21/1997 | NEW YORK, NY | |
B | 05/25/1988 - 11/20/1990 |
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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.