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321 Reed Street Suite #2, Akron, IA 51001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NE | RA | APPROVED | 2023-11-29 |
| KS | RA | APPROVED | 2020-11-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Student | Manhattan | KS | 08/2014 | 05/2017 |
| The Roth Companies, Inc. | Overland Park | KS | 05/2017 | 08/2017 |
| Student | Lawrence | KS | 08/2017 | 05/2019 |
| The Roth Companies, Inc. | Overland Park | KS | 05/2019 | Present |
| The Roth Companies, Inc. | Overland Park | KS | 05/2017 | Present |
| The Roth Companies, Inc. | Overland Park | KS | 01/2020 | Present |
1.) RDA FINANCIAL NETWORK, INC - INVESTMENT ADVISOR REPRESENTATIVE - REGISTERED INVESTMENT ADVISOR - OVERLAND PARK, KS - SINCE 01/2020 - INVESTMENT RELATED 2.) THE ROTH COMPANIES, INC. - INSURANCE AGENT - NON-VARIABLE INSURANCE - OVERLAND PARK, KS - SINCE 05/2017 - INVESTMENT RELATED 3.) THE ROTH COMPANIES, INC. - MARKETING ASSOCIATE - DBA NAME FOR MARKETING PURPOSES ONLY - OVERLAND PARK, KS - SINCE 05/2017 - INVESTMENT RELATED 4.) THE ROTH COMPANIES, INC. - WEALTH MANAGEMENT ADVISOR - REGISTERED INVESTMENT ADVISOR - OVERLAND PARK, KS - SINCE 01/2020 - INVESTMENT RELATED
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2021-01-21 |
| S65 | Uniform Investment Adviser Law Examination | 2020-11-12 |
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