Duane Roth
Duane Roth is a registered investment advisor at United Planners' Financial Services of America a Limited Partner, based in O'Fallon, IL, with 20 years of industry experience. Their practice areas include Estate Planning, Insurance Planning, Retirement Planning, Tax Planning. Their firm serves 26,942 clients with $11B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
United Planners' financial professionals offer portfolio management services for a fee, also known as an advisory fee. This fee is determined based on the complexity of the service, knowledge, skill, technology, and access warranted to satisfy the client's needs. The advisory fee may also include financial planning and consulting services. The maximum advisory fee is 3.0% annually, but may be lower for Pershing accounts due to a separate program fee. United Planners does not have a minimum advisory fee or a predetermined fee schedule.
Location
4925 Stone Falls, Suite A, O'Fallon, IL, 62269
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Regulatory History (1)
Customer Dispute
October 2010Other Business ActivitiesSells Insurance
Duane is an investment advisor representative with RDA Financial Network, Inc. He also owns rental property, is the founder, president, and CEO of The Roth Companies, Inc. (non-variable insurance), and manages Roth Agribusiness, a farming and agriculture business.
Employment History
Current Registrations
United Planners' Financial Services of America a Limited PartnerBroker
Rda Financial Network
Previous Registrations
United Planners' Financial Services of America a Limited Partner
Stonefield Investment Advisory, INC.
Cambridge Investment Research, INC.Broker
Nylife Securities LLCBroker
State Registrations29 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.