Individual Firm
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IRIS JOY ROTH
CRD#: 1797031
IA
B
NEWEDGE ADVISORSCRD#: 171351 2600 ISLAND BLVD.
SUITE 205
AVENTURA, FL 33160
SUITE 205
AVENTURA, FL 33160
NEWEDGE SECURITIES, LLCCRD#: 10674 AVENTURA, FL
0
Disclosures
36
Years of Experience
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State Registrations
B
District of Columbia 12/15/2023
B
New Jersey 11/29/2013
B
Florida 5/3/2004
B
New York 5/3/2004
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Florida 11/1/2021
B
Texas 7/25/2017
B
Maryland 5/3/2004
IA
Texas 11/1/2021
B
Massachusetts 9/28/2016
SRO Registrations
B
B
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IA
Registered with this firm since 11/1/2021
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/19/2006 - 11/01/2021 | AVENTURA, FL | |
IA | 06/23/2004 - 07/09/2004 | MIAMI, FL | |
B | 07/31/1998 - 05/03/2004 | SACRAMENTO, CA | |
B | 07/03/1997 - 07/31/1998 | BOSTON, MA | |
B | 06/08/1992 - 07/02/1997 | RICHMOND, VA | |
B | 01/08/1991 - 06/10/1992 | BOSTON, MA | |
B | 01/05/1989 - 12/03/1990 | NEW YORK, NY | |
B | 03/16/1988 - 06/20/1989 | ||
B | 03/16/1988 - 06/20/1989 |
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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.