Duane M Roth

Current Employers

Rda Financial Network

321 Reed Street Suite #2, Akron, IA 51001 • United States

Current Registrations

Authority	Category	Status	Date
NE	RA	APPROVED	2025-02-26
TX	RA	APPROVED_RES	2018-01-02
KS	RA	APPROVED	2012-12-13
IL	RA	APPROVED	2008-05-21

NE RA
APPROVED

Since 2025-02-26
TX RA
APPROVED_RES

Since 2018-01-02
KS RA
APPROVED

Since 2012-12-13
IL RA
APPROVED

Since 2008-05-21

Branch Locations

4925 Stone Falls, Suite A, O'FAllon, IL 62269 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Roth Dairy Farm	Trenton	IL	01/1983	Present
Rda Financial Network, Inc.	North Liberty	IA	07/2007	Present
United Planners Financial Services	Scottsdale	AZ	08/2016	Present
Duane Roth - Rental Property	O'FAllon	IL	05/2007	Present
The Roth Companies, Inc.	O'FAllon	IL	05/2001	Present
Rda Financial Network, Inc. Dba The Roth Companies, Inc.	O'FAllon	IL	03/2005	Present
The Roth Companies, Inc.	O'FAllon	IL	07/2004	Present
Duane M. Roth	O'FAllon	IL	05/2007	Present
Duane M. Roth / Roth Agribusiness	Trenton	IL	11/2017	Present
Roth Asset Management, Llc	O'FAllon	IL	05/2007	Present

01/1983 → Present

Roth Dairy Farm

Trenton, IL
07/2007 → Present

Rda Financial Network, Inc.

North Liberty, IA
08/2016 → Present

United Planners Financial Services

Scottsdale, AZ
05/2007 → Present

Duane Roth - Rental Property

O'FAllon, IL
05/2001 → Present

The Roth Companies, Inc.

O'FAllon, IL
03/2005 → Present

Rda Financial Network, Inc. Dba The Roth Companies, Inc.

O'FAllon, IL
07/2004 → Present

The Roth Companies, Inc.

O'FAllon, IL
05/2007 → Present

Duane M. Roth

O'FAllon, IL
11/2017 → Present

Duane M. Roth / Roth Agribusiness

Trenton, IL
05/2007 → Present

Roth Asset Management, Llc

O'FAllon, IL

Previous Registrations

2007-07-18 → 2008-07-10

Stonefield Investment Advisory, Inc.

O'FAllon, IL

Other Businesses

1.) RDA FINANCIAL NETWORK, INC. - INVESTMENT ADVISOR REPRESENTATIVE - ADVISORY BUSINESS - O'FALLON, IL - SINCE 03/2005 - INVESTMENT RELATED 2.) DUANE M. ROTH - OWNER - RENTAL PROPERTY - O'FALLON, IL - SINCE 05/2007 - INVESTMENT RELATED 3.) THE ROTH COMPANIES, INC. - FOUNDER, PRESIDENT & CEO - NON-VARIABLE INSURANCE - O'FALLON, IL - SINCE 05/2001 - INVESTMENT RELATED 4.) THE ROTH COMPANIES, INC. - FOUNDER/PRESIDENT & CEO - DBA NAME FOR MARKETING PURPOSES ONLY - O'FALLON, IL - SINCE 07/2004 - INVESTMENT RELATED 5.) DUANE M. ROTH / ROTH AGRIBUSINESS - MANAGER - FARMING AND AGRICULTURE - TRENTON, IL - SINCE 11/2017 - INVESTMENT RELATED 6.) RDA FINANCIAL NETWORK, INC. DBA THE ROTH COMPANIES, INC. - INVESTMENT ADVISOR/WEALTH MANAGEMENT ADVISOR - REGISTERED INVESTMENT ADVISOR - O'FALLON, IL - SINCE 03/2005 - INVESTMENT RELATED 7.) ROTH ASSET MANAGEMENT, LLC - OWNER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - O'FALLON, IL - SINCE 05/2007 - INVESTMENT RELATED

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-10-14
S63	Uniform Securities Agent State Law Examination	2005-02-05

S66 Uniform Combined State Law Examination

2006-10-14
S63 Uniform Securities Agent State Law Examination

2005-02-05

View on SEC IAPD