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40 Wall Street Suite 3602, New York, NY 10005 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-01-13 |
Branch Locations
40 Wall Street Suite 3602, New York, NY 10005 • UNITED STATES
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Xton Financial, Formerly Tessera Capital Partners, Llc | New York | NY | 05/2016 | 01/2023 |
| R F Lafferty & Co Inc | New York | NY | 01/2023 | Present |
1) President of Monahan & Roth, LLC located at 302 Washington St, #105, San Diego, CA. 92103 . ESt 1999. The firm provides expert witness and compliance consulting. Not investment related. 2)FINRA Dispute Resolution Arbitrator, 1992 to present. Nominal compensation if appointed to a panel. Not investment related. 3) Provide oversight to Responsibility Inc's. President regarding the charity's investments. Responsibility Inc. is a 501 (c) 3 entity that provides education to impoverished children. This is an unpaid, investment-related consulting position and Ms. Roth will devote approximately 1 hour per month to this activity. She has no control or decision-making authority over the charity's investments.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-02-12 |
| S63 | Uniform Securities Agent State Law Examination | 1991-01-28 |
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