Duane Roth has been an investment adviser representative at RDA Financial Network since May 2008, and is not listed among the firm’s executive officers or direct owners.
Rda Financial Network, Inc. is an Akron, IA firm with $675M under management, 1,521 clients and 17 advisers across 16 offices, as of its October 2026 filing.
Duane Roth’s longest registration is the current one, 18 years at RDA Financial Network since 2008. Before joining RDA Financial Network in 2008, Duane Roth was registered through Stonefield Investment Advisory, Inc.
- United Planners' Financial Services of America A Limited Partner– · under a yearOverland Park, KS · Adviser representative · Firm CRD 20804
- Rda Financial NetworkCurrent– present · 18 yearsO'Fallon, IL · Adviser representative · Firm CRD 147309
- Stonefield Investment Advisory, Inc.– · under a yearO'Fallon, IL · Adviser representative · Firm CRD 113802
Investment adviser representative registrations
Duane Roth is registered as an investment adviser representative in 4 states, as a resident of Texas. The first approvals date from May 2008; the most recent is Nebraska, in February 2025.
- IllinoisSince 21 May 2008
- KansasSince 13 December 2012
- NebraskaSince 26 February 2025
- TexasResidentSince 2 January 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 14 October 2006 |
| Series 7 | General Securities Representative Examination | 23 March 2005 |
| Series 63 | Uniform Securities Agent State Law Examination | 5 February 2005 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Duane M Roth
- CRD
- 4784123
- Firm
- RDA Financial Network · CRD 147309
- Office
- 4925 STONE FALLS, SUITE A, O'Fallon, IL 62269
- Registration
- Investment adviser and broker registrations
- In the industry since
- March 2005
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Duane Roth work?
Duane Roth is an investment adviser representative registered through Rda Financial Network, Inc. since May 2008, and is not listed among the firm’s executive officers or direct owners.
Is Duane Roth a financial advisor?
Yes. Duane Roth has a current investment-adviser registration in Illinois, Kansas, Nebraska and Texas, through RDA Financial Network since May 2008.
How many years of experience does Duane Roth have?
Duane Roth has 21 years in the financial industry, since March 2005, across 3 adviser firms.
What exams has Duane Roth passed?
Duane Roth has passed 3 licensing exams: the Series 63, Series 7 and Series 66. The earliest, the Series 63, was passed in February 2005. FINRA credited Duane Roth with the SIE, which began in October 2018.
Where is Duane Roth based?
Duane Roth’s registered office is in O'Fallon, IL.
Is Duane Roth registered with FINRA?
Yes. Duane Roth has a current broker registration, under CRD 4784123.
Source: FINRA BrokerCheck
How can I verify Duane Roth’s record?
Search CRD 4784123 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Duane Roth’s full registration record.