JR
Jonathan M. Roth
LPL ENTERPRISE
SPRINGFIELD, IL 62704
Some features on this profile are disabled
CRD#: 1627270
JR
Professional summary
Jonathan M Roth, who also goes by J R Roth, John Michael Roth, Johnathon Roth, Jonathan Michael Roth, Jonathan Roth, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Springfield, Illinois.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Jonathan has worked at 15 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
J R Roth | John Michael Roth | Johnathon Roth | Jonathan Michael Roth | Jonathan 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.
MUSIC SOURCE PROFESSIONAL DISC JOCKEY SERVICE; NOT INVESTMENT-RELATED; SPRINGFIELD, IL, DISC JOCKEY/OWNER OPERATOR; 08/2005; 40 HRS/MO; 0 HRS DURING TRADE HRS; BOOKING/PERFORMING DUTIES AS A MOBILE DISC JOCKEY MUSIC SOURCE PROFESSIONAL DISC JOCKEY SERVICE POSITION: Owner/Operator NATURE: Arts, Entertainment, and Recreation INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 08/01/1993 ADDRESS: 901 South Grand Avenue West, Springfield IL 62704, United States DESCRIPTION: Music Source is a disc jockey service that provides professional planning and mobile entertainment specializing in wedding receptions. As the sole owner, disc jockey, master of ceremonies and reception director my duties encompass a vast array of tasks from advertising and budgeting to bookkeeping and contract bookings. This includes everything from client consultations to guest relations at the event, and from managing one or more assistants to managing all of the necessary equipment required for the contracted event. Coordinating with other wedding vendors to coordinating the music itself in selection, editing, mixing and delivery. This high level of personal service and attention to detail separates Music Source from others in the local market, making Music Source the top rated DJ service on Google in the Greater Springfield Area.
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan M Roth's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jonathan M Roth's 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®
NoneExperience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 901 South Grand Ave West, Springfield, IL 62704RIA
BD
CRD#: 8733
SPRINGFIELD, IL
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 901 South Grand Ave West, Springfield, IL 62704RIA
BD
CRD#: 8733
SPRINGFIELD, IL
Past
April 14, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Springfield, IL
Past
July 16, 2020 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Springfield, IL
Past
November 11, 2013 - July 7, 2020
INTEGRITY ALLIANCE, LLC.
BD
CRD#: 139627
SPRINGFIELD, IL
Past
December 6, 2006 - February 16, 2012
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
CARLINVILLE, IL
Past
August 7, 2006 - February 16, 2012
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
CARLINVILLE, IL
Past
June 22, 2004 - August 3, 2006
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
SPRINGFIELD, IL
Past
October 1, 2003 - April 19, 2004
FOCUSED INVESTMENTS L.L.C.
BD
CRD#: 37532
CHICAGO, IL
Past
January 4, 1999 - October 10, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
December 14, 1998 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
BD
CRD#: 10147
ST. PETERSBURG, FL
Past
March 18, 1998 - January 8, 1999
FIRST BROKERAGE AMERICA, L.L.C.
BD
CRD#: 43431
CLAYTON, MO
Past
January 22, 1996 - February 25, 1998
AEGON USA SECURITIES INC.
BD
CRD#: 13302
CEDAR RAPIDS, IA
Past
October 1, 1992 - February 5, 1996
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
March 2, 1992 - September 3, 1992
MAGNA INVESTMENTS
BD
CRD#: 16511
ST. LOUIS, MO
Past
April 11, 1991 - March 12, 1992
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
July 27, 1990 - April 23, 1991
VESTAX SECURITIES CORPORATION
BD
CRD#: 10332
HUDSON, OH
Past
February 24, 1987 - July 31, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Illinois(11/14/2024)
IAR
Illinois(11/14/2024)
RR
Indiana(8/11/2025)
RR
Kansas(11/14/2024)
RR
Missouri(11/14/2024)
RR
Washington(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
Company Information
LPL ENTERPRISE, LLC
CRD#: 8733Springfield, IL 62704TRUST BUT VERIFY
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