Peter B. Roth

ROTH FINANCIAL PARTNERS LLC

Kingwood, TX 77339

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CRD#: 1201110

Professional summary

Peter Bruce Roth, CFP®, CIMA®, who also goes by Peter B. Roth, is a registered financial advisor currently at ROTH FINANCIAL PARTNERS LLC located in Kingwood, Texas.

Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Peter has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Peter B. Roth

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Bruce Roth's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

CIMA^®

Certified Investment Management Analyst

Experience

Current

October 2, 2020 - Present

ROTH FINANCIAL PARTNERS LLC

Office #1: 855 Rockmead Drive Suite 703, Kingwood, TX 77339

RIA

CRD#: 309814

Kingwood, TX

Past

May 10, 2010 - October 2, 2020

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

KINDWOOD, TX

Past

May 7, 2010 - October 2, 2020

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

KINGWOOD, TX

Past

November 5, 1999 - May 13, 2010

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

HOUSTON, TX

Past

November 5, 1999 - May 13, 2010

UBS FINANCIAL SERVICES INC.

CRD#: 8174

HOUSTON, TX

Past

April 16, 1990 - November 16, 1999

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

June 1, 1989 - April 26, 1990

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

October 19, 1983 - June 12, 1989

ROTAN MOSLE INC.

CRD#: 727

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ROTH FINANCIAL PARTNERS LLC

ROTH FINANCIAL PARTNERS LLC | ROTH FINANCIAL PARTNERS, LLC

CRD#: 309814 / SEC#: 801-119326

RIA

Registered Investment Advisory firm - (8/20/2020 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(10/2/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/25/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/15/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 3/4/1999

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

ROTH FINANCIAL PARTNERS LLC

ROTH FINANCIAL PARTNERS LLC | ROTH FINANCIAL PARTNERS, LLC

CRD#: 309814 / SEC#: 801-119326

RIA

Registered Investment Advisory firm - (8/20/2020 Approved)

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Contact information

Main Address

855 Rockmead Drive Suite 703, Kingwood, TX 77339

Mailing Address

Phone number

(281) 973-8816

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (6/6/2025)

Regulatory assets under management

Total Number of Accounts	725
AUM (Assets Under Management)	$ 400,671,602

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Peter B. Roth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Bruce Roth's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

LEGG MASON WOOD WALKER, INCORPORATED

PERSHING LLC

ROTAN MOSLE INC.

Primary Firm SEC Registration

ROTH FINANCIAL PARTNERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/25/1983

SIE

Date: 10/1/2018

Series 7

Date: 10/15/1983

Series 8

Date: 3/4/1999

Current Firm

ROTH FINANCIAL PARTNERS LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROTH FINANCIAL PARTNERS LLC

TRUST BUT VERIFY

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