Jonathan L. Roth
Professional summary
Jonathan Lee Roth, who also goes by Jonathan Roth, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Westbury, New York and CETERA INVESTMENT SERVICES LLC located in Westbury, New York.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Jonathan has worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Lee Roth's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 1, 2021 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1400 Old Country Rd Suite 408, Westbury, NY 11590November 30, 2020 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 1400 Old Country Rd Suite 408, Westbury, NY 11590February 23, 2016 - August 7, 2018
NORTH RIDGE SECURITIES CORP.
June 30, 2015 - December 23, 2015
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
August 16, 2011 - April 27, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 18, 2011 - March 22, 2011
BLAYLOCK VAN, LLC
August 13, 2010 - March 18, 2011
BLAYLOCK VAN, LLC
May 6, 1994 - August 26, 2005
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/21/2021)
(8/3/2022)
(1/21/2025)
(1/21/2021)
(2/1/2021)
(10/30/2025)
(3/15/2022)
(4/17/2025)
(4/17/2025)
Exams
Series 7TO
Date: 11/28/2020
General Securities Representative ExaminationFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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