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Statement to Clients
Duane Roth, President of the Roth Companies, provides comprehensive wealth management services to his clients as an Investment Advisor of RDA Financial Network, including investment planning and management, estate planning techniques, retirement planning, annuity advice and insurance selection, long term care planning and tax reduction strategies.

Mr. Roth holds a degree in Business and is a Registered Financial Consultant (RFC), Investment Advisor Representative, Insurance Licensed Professional, and he holds a Life Underwriter Training Council Fellow (LUTCF) designation from The American College. The National Association of Insurance and Financial Advisors (NAIFA) and The American College, who is the nation’s leading educator for professionals in the insurance and financial services industry, jointly sponsor the designation. Duane has lectured on financial topics at Southwestern Illinois College, Fontbonne University, and Southern Illinois University. Additionally, his Retirement and Tax Planning presentations have been attended in the St. Louis Metro Area and Kansas City Metro by over 4,000 retirees. His in depth newsletter, Wealth Management Report, is available by contacting (800) 551-7684 or visiting www.therothcompanies.com . The Roth Companies through RDA Financial Network, provides comprehensive wealth management services to its clients, including investment planning and management, estate planning techniques, retirement planning, annuity advice and insurance selection, long term care planning and tax reduction strategies. He has developed unique strategies to accumulate, protect, and transfer assets effectively of high net worth clients. The firm focuses on helping pre-retirees, retirees, and business owners avoid the most common financial mistakes. Duane has been honored as one of the top 1% practicing independent advisors through several prestigious organizations. Through continual study, Duane is dedicated to improve and stay current with changes in the financial industry. Duane is a sports enthusiast and avid basketball player who at one point played at the professional level. He mentors young athletes and gives his time acting upon his strong beliefs on the importance of giving back to his community. Duane is active with several charities including the Leukemia Society, Disabled American Veterans, and Seeds of Hope. In his leisure time he loves to listen to music and spend time with family and friends.

Background Information
Business Background:
RDA Financial Network, Inc.

Investment Advisor Representative

2016 – Present

United Planners Financial Services

Registered Representative

2016 – Present

Cambridge Investment Research, Inc.

Registered Representative

2007 – 2016

The Roth Companies, Inc.

President

2007 – Present

Stonefield Investment Advisory

Investment Advisor Representative

2007 – 2008

NY Life Securities Inc.

Registered Representative

2004-2007

Education:
Fontbonne University

Bachelor of Science, Business, Finance and Marketing Finance

1999

Southwestern Illinois College

Associate Degree, Major in Business Administration and Science

1997

Designations/Licenses:

Life Underwriter Training Council Fellow (LUTCF)  is issued by the American College and the National Association of Insurance and Financial Advisors (NAIFA). The designation gives an advisor a better understanding of a variety of insurance products. Advisors must complete five required courses, plus one course on ethics, and then pass a final examination.

Registered Financial Consultant (RFC)  is awarded by the International Association of Registered Financial Consultants to those financial advisors who can meet the high standards of education, experience and integrity that are required of all its members. This designation requires educational training and study of advance planning concepts to be used serving individual clients and business owners with their comprehensive wealth management needs.

Series 7, 63, 66

Life, Health, Long Term Care, Property and Casualty Insurance

Disciplinary Information:

Duane has no disciplinary information history to disclose.

Duane M. Roth, LUTCF, RFC

Investment Advisor Representative – RDA Financial

President – The Roth Companies

Phone: 618.632.7684
4925 Stone Falls Center, Suite A
O’Fallon, IL  62269
Fax: 913.693.7900
Email: duane@therothcompanies.com
Website: therothcompanies.com