Kathleen RothCRD Number: 867375
Current Firm: Cambridge Investment Research Advisors, Inc.
Kathleen Roth (CRD# 867375) is an Investment Advisor Representative working at Cambridge Investment Research Advisors, Inc. in Salt Lake City, UT and has over 33 years of experience in the finance industry. Kathleen Roth has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Uma Financial Services Inc.
Brighton Wealth Management, Inc.
|Cambridge Investment Research Advisors, Inc.||Fairfield, IA||May 2011 - Current||6|
|Cambridge Investment Research, Inc.||Fairfield, IA||May 2011 - Current||6|
|Ensemble Financial Services, Inc.||Pittsford, NY||Aug 2009 - May 2011||1|
|Waterstone Financial Group||Itasca, IL||May 2003 - Aug 2009||6|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jun 1984|
|S65||NASAA Investment Advisors Law Examination||Mar 1999|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management28,722MILLIONS
Total Number of Accounts168,526ACCOUNTS
Average Account Value$170,429
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Market timing services
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY