Business Description

Edward Roth believes in providing a level of service that goes far beyond the purchase or sale of an investment. He is with you every step of the way, helping you develop a portfolio with designed and customized balance of stability and risk for your financial situation.

He participates in The Raymond James Charitable Partners Program, which was developed as a non-traditional means to provide a way for any investor to "make a difference" in their community with no added cost to them or their cause of choice.

When an investor has their assets managed by Raymond James Financial Services, Mr. Roth automatically donates 20% of their net management fees and/or commissions generated by the account to the clients cause of choice.

One of the client's benefits is that there is no added cost or effort for those who take part in this program. While the investor retains full custody of their assets, the 20% donation comes directly from Mr. Roth.

General Information

Gender:

Male

Firm CRD#:

5725

States Licensed in:

In all 50 States

Years of Experience in Financial Services:

Education

Academic Background

Certified Financial Planner (TM)

Services

Investment Types:

Variable Insurance Products, International Investments, Alternative Investments, Bonds, Stocks, Annuities, Mutual Funds

Qualifications & Memberships

Certifications, Accreditations & Designations:

Certified Financial Planner, Series 65, Registered Investment Advisor (RIA) (State or SEC) or RIA representative

Securities Licenses:

Life & Health, Series 63, seies 4, Series 65, Series 7

Firm Information

Number of Advisors in Office:

Up to 10 employees

Firm's Number of Clients:

1200

Assets Managed by Firm:

$100K & up

Advisor's Number of Clients:

150

Assets Managed by Advisor:

$100K & up

Compensation & Fees

Minimum Portfolio Size for New Managed Accounts:

$50,000.00

Compensation Methods:

Commissions, Hourly, Based on Assets

Fee % Based on Assets:

1.5

Hourly Rate:

$50.00

Additional Details on Charges:

1.5%the maximum. 1% anything over $100,00.00. Clients should periodically re-evaluate the use of an asset based fee continues to be appropriate in servicing their needs. A list of additional considerations, as well as the fee schedule, is available in the firm's form ADV Part II as well as the client agreement.

Minimum Fee Charged for Managed Accounts:

$50.00

Prepared By:

Edward L. Roth, CFP®

Most Recent Update:

09/03/2008