Dominic Roti, financial advisor Bolingbrook IL
93 score

Dominic Roti

CRD Number: 5438910
Current Firm: U.s. Bancorp Investments, Inc.

Dominic Roti (CRD# 5438910) is an Investment Advisor Representative working at U.s. Bancorp Investments, Inc. in Bolingbrook, IL and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
U.s. Bancorp Investments, Inc. Naperville, IL May 2014 - Current 2
J.p. Morgan Securities LLC Glendale Heights, IL Oct 2012 - May 2014 1
Jpmorgan Chase Bank Lombard, IL Oct 2007 - May 2014 6
Chase Investment Services Corp Lombard, IL Oct 2007 - Oct 2012 5
Encore Downers Grove, IL Sep 2005 - Oct 2007 2
Unemployed Lombard, IL May 2007 - Aug 2007 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 2007
S65 NASAA Investment Advisors Law Examination Aug 2011
Contact Info for Dominic A. Roti
Phone Number: 800-888-4700
Registered State(s):
  • IL
By the Numbers
  • Total Assets Under Management
    5,065
    MILLIONS
  • Total Number of Accounts
    24,670
    ACCOUNTS
  • Average Account Value
    $205,313
Compensation Options
  • A percentage of assets under your management
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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