Eric RothCRD Number: 3066232
Current Firm: Lpl Financial LLC
Eric Roth (CRD# 3066232) is an Investment Advisor Representative working at Lpl Financial LLC in Crystal City, MO and has over 19 years of experience in the finance industry.
Asa Advisors, Inc.
Century Securities Associates Inc.
Sagepoint Financial, Inc.
|Lpl Financial LLC||Crystal City, MO||Apr 2003 - Current||14|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 1998|
|S65||NASAA Investment Advisors Law Examination||Apr 2004|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management112,086MILLIONS
Total Number of Accounts531,091ACCOUNTS
Average Account Value$211,049
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
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, VI, VT, WA, WI, WV