888 SAN CLEMENTE DRIVE, Suite 400, Newport Beach, CA, 92660
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Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Kristin is the Chief Compliance Officer (CCO) for Roth Canada, Inc., a Canadian Investment Dealer, since 2019. Her duties include all compliance activities and take about 10-20% of her time.