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Current Employers
Wilmington Trust Investment Advisors, Inc.

Wilmington Trust Center 1100 North Market Street, Wilmington, DE 19890-0001 • United States

Current Registrations

AuthorityCategoryStatusDate
DE RA APPROVED 2014-11-20
  • DE RA
    APPROVED
    Since 2014-11-20

Branch Locations

1100 North Market Street, Wilmington, DE 19801 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wilmington Trust Company Wilmington DE 10/2014 Present
M&T Securities Wilmington DE 10/2014 Present
  • 10/2014 → Present
    Wilmington Trust Company
    Wilmington, DE
  • 10/2014 → Present
    M&T Securities
    Wilmington, DE
Previous Registrations
Other Businesses

11/2014 MANUFACTURERS & TRADERS TRUST COMPANY ("M&T BANK"), ONE M&T PLAZA, BUFFALO, NY 14203; EMPLOYEE OF M&T BANK. THE MAJORITY OF HOURS ARE DEDICATED TO BANKING RELATED FUNCTIONS. 11/30/2016; WILMINGTON TRUST, N.A., ONE M&T PLAZA, BUFFALO, NY 14203; EMPLOYEE OF WILMINGTON TRUST, N.A. THE MAJORITY OF HOURS ARE DEDICATED TO BANKING RELATED FUNCTIONS).

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-04-05
S63 Uniform Securities Agent State Law Examination 2001-03-14
  • S65 Uniform Investment Adviser Law Examination
    2006-04-05
  • S63 Uniform Securities Agent State Law Examination
    2001-03-14
Other Names
  • Anthony Roth
  • Anthony M Roth

View on SEC IAPD

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