Ben Roth is a registered investment advisor, based in Dallas, TX, with 43 years of industry experience.
Location
8235 Douglas Avenue, Suite 1150, Dallas, TX, 75225
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Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2003Settled
Customer Dispute
February 2001Denied
Customer Dispute
January 1999Settled
Other Business Activities
Ben conducts advisory services through NewEdge Advisors, LLC, doing business as Fortis Wealth Advisors, LLC, dedicating full-time hours to this activity. He is also the Founder and Wealth Advisor at Fortis Wealth Advisors, managing financial assets for clients, and dedicating more than full-time hours to this activity.
Employment History
Current Registrations
Newedge Securities, LLC
June 2024 - Present · 1 yr 11 mos
Newedge Advisors
June 2024 - Present · 1 yr 11 mos
Newedge Securities, LLCBroker
June 2024 - Present · 1 yr 11 mos
Previous Registrations
J.P. Morgan Securities LLC
July 1996 - June 2024 · 27 yrs 11 mos
J.P. Morgan Securities LLCBroker
July 1996 - June 2024 · 27 yrs 11 mos
Alex. Brown & Sons IncorporatedBroker
October 1992 - August 1996 · 3 yrs 10 mos
Kidder, Peabody & CO. IncorporatedBroker
October 1987 - October 1992 · 5 yrs
Painewebber IncorporatedBroker
January 1983 - October 1987 · 4 yrs 9 mos
State Registrations1 state
TX
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.