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Brian Roth

Ia-CCO at Oppenheimer Asset Management

Investment adviser and broker registrationsSEC record checked 17 October 2026

22
Years in the industry
1
Adviser firms
1
State registrations

IAPD record retrieved 17 October 2026SEC record

Brian Roth is Ia-CCO of Oppenheimer Asset Management Inc., a New York investment adviser managing $21.3B. Brian Roth has 22 years in the industry across 1 firm and has passed the Series 63, Series 7, Series 66 and SIE.

Role at Oppenheimer Asset Management

Title on Schedule A
Ia-CCO
Control
Brian Roth is not a control person of Oppenheimer Asset Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Brian Roth has held the filed role since March 2021.

The firm

Oppenheimer Asset Management Inc.
New York, NY

Form ADV filed 30 September 2026

$21.3B AUM43,537 clients129 advisers3 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Oppenheimer & Co. Inc.Current
    – present · 18 years
    New York, NY · Adviser representative · Firm CRD 249
  3. Passed Series 66 · 2009
  4. Passed Series 7 · 2006
  5. Passed Series 63 · 1989

Registrations and exams

Brian Roth has a current investment-adviser registration in New York and has passed 4 qualifying exams.

New York7 April 2021
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6616 January 2009
Name
Uniform Combined State Law Examination
Series 637 December 1989
Name
Uniform Securities Agent State Law Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 719 December 2006
Name
General Securities Representative Examination

Individual record

Full name
Brian Alan Roth
CRD
1424322
Firm
Oppenheimer Asset Management Inc.
Registration status
Investment adviser and broker registrations

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Brian Roth work?

Brian Roth has been Ia-CCO of Oppenheimer Asset Management Inc. since March 2021.

Source: Form ADV, Schedule A, filed 30 September 2026

Is Brian Roth a financial advisor?

Yes. Brian Roth has a current investment-adviser registration in New York, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does Brian Roth have?

Brian Roth has worked in the financial industry for 22 years as of 17 October 2026, counted from 29 October 2003, across 1 adviser firm.

Source: IAPD individual record, checked 17 October 2026

What exams has Brian Roth passed?

Brian Roth has passed 4 licensing exams: the Series 63, Series 7, Series 66 and SIE. The earliest, the Series 63, was passed in December 1989.

Source: IAPD individual record, checked 17 October 2026

Leadership at Oppenheimer Asset Management

  • Peter Cadaret
    President
  • Brad Michael Watkins
    Senior Vice President-CFO
  • Robert Steven Lowenthal
    CEO/Director
  • Albert Grinsfelder Lowenthal
    Executive Chairman/Director
  • Bryan McKigney
    Director
  • Dennis Patrick McNamara
    Secretary/Director
  • Svetlana Milina
    Chief Legal Officer
  • Mark Montuschi
    Chief Operations Officer
  • Dominic Thomas Valentino
    Managing Director - Compliance

Sources

  1. IAPD individual record, CRD 1424322. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Oppenheimer Asset Management Inc., filed 30 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Brian Roth or Oppenheimer Asset Management Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.