DR
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David Michael Roth

11 Years of Experience
BrokerSells Insurance
Areas of Practice
Investment ManagementRetirement PlanningTax PlanningEstate PlanningEducation PlanningCharitable GivingBusiness OwnersHigh Net Worth
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
57 advisors
Number of Clients
3,238 clients
Average Client Portfolio
$791K average
Assets Under Management
$2.6B

Fee Structure

Minimum Investment:$5K
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Location

9870 Research Drive, Irvine, CA, 92618

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

David is an investment advisor representative (IAR) for Cooper McManus RIA, spending about 10-20% of his time there. He is also an independent insurance agent for various companies, dedicating a few hours per week to this activity.

Employment History
Current Registrations
Cambridge Investment Research, INC.
October 2023 - Present · 2 yrs 4 mos
Cooper Mcmanus
October 2023 - Present · 2 yrs 4 mos
Cambridge Investment Research, INC.Broker
October 2023 - Present · 2 yrs 4 mos
Previous Registrations
Securities America Advisors, INC.
September 2018 - October 2023 · 5 yrs 1 mo
Securities America, INC.Broker
September 2018 - October 2023 · 5 yrs 1 mo
Geneos Wealth Management, INC.Broker
February 2017 - September 2018 · 1 yr 7 mos
Geneos Wealth Management, INC.
February 2017 - September 2018 · 1 yr 7 mos
Edward Jones
April 2015 - February 2017 · 1 yr 10 mos
Edward JonesBroker
March 2015 - February 2017 · 1 yr 11 mos
Nylife Securities LLCBroker
June 2014 - March 2015 · 9 mos
State Registrations3 states
COORWA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.