Mitchell Roth is a CFP-designated registered investment advisor, based in Dallas, NC, with 8 years of industry experience. Mitchell is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Dallas, NC
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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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Mitchell is a landlord, renting out a prior house since 2022. This investment-related activity requires minimal time.
Employment History
Current Registrations
Cetera Wealth Services, LLC
April 2026 - Present · 6 mos
Sovran Advisors, LLC
April 2026 - Present · 6 mos
Cetera Wealth Services, LLCBroker
April 2026 - Present · 6 mos
Previous Registrations
Vanguard Advisers, INC.
December 2022 - April 2026 · 3 yrs 4 mos
Vanguard Marketing CorporationBroker
December 2022 - April 2026 · 3 yrs 4 mos
LPL Financial LLC
December 2021 - December 2022 · 1 yr
LPL Financial LLCBroker
December 2021 - December 2022 · 1 yr
Equitable Advisors, LLC
June 2020 - December 2021 · 1 yr 6 mos
Equitable Advisors, LLCBroker
May 2020 - December 2021 · 1 yr 7 mos
Ameriprise Financial Services, LLC.
October 2018 - May 2020 · 1 yr 7 mos
Ameriprise Financial Services, LLCBroker
August 2018 - May 2020 · 1 yr 9 mos
State Registrations12 states
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AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.