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888 San Clemente Drive, Newport Beach, CA 92660 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-06-28 |
| CA | RA | APPROVED | 2005-10-06 |
Branch Locations
888 San Clemente Drive, Suite 400, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cruttenden Roth Incorporated | Newport Beach | CA | 03/1994 | Present |
| Roth Canada, Inc. | Toronto | 07/2019 | Present |
Roth Canada, Inc. - Investment Related - Address: 130 King Street, Suite # 1909 Toronto, ON M5X 1E3, Canada. Roth Canada is an IIROC registered Canadian Investment Dealer, CCO, 7/26/2019, 20-30 a month, duties include all Compliance activities of the Canadian investment dealer.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-06-20 |
| S63 | Uniform Securities Agent State Law Examination | 1995-04-07 |
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