Steven M. Roth

CETERA INVESTMENT ADVISERS

Annapolis, MD 21401

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CRD#: 1922301

Professional summary

Steven Mark Roth, who also goes by Steve Roth, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Annapolis, Maryland and CETERA WEALTH SERVICES, LLC located in Annapolis, Maryland.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Steven has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 6, Series 26 and Series 12 exams.

Aliases

Steve 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.

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 07/1988; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 2. NAME OF OTHER BUSINESS: SEVERN WEALTH MANAGEMENT; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 09/2025; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 45; APX NUMBER OF HOURS DURING TRADING HOURS: 35; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Mark 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®

None

Experience

Current

August 18, 2026 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 151 West St Suite 302, Annapolis, MD 21401

RIA

CRD#: 105644

Annapolis, MD

Current

August 18, 2026 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 151 West Street Suite 302, Annapolis, MD 21401

CRD#: 13572

Annapolis, MD

Past

March 15, 2017 - August 20, 2026

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

Annapolis, MD

Past

March 15, 2017 - August 20, 2026

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

Annapolis, MD

Past

March 19, 2014 - February 15, 2024

SEVERN FINANCIAL ADVISORS, LLC

RIA

CRD#: 121625

ANNAPOLIS, MD

Past

September 8, 2010 - March 17, 2017

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

ANNNAPOLIS, MD

Past

September 8, 2010 - March 17, 2017

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

ANNAPOLIS, MD

Past

January 8, 2008 - September 10, 2010

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

ANNAPOLIS, MD

Past

April 18, 2007 - September 10, 2010

MML INVESTORS SERVICES, LLC

CRD#: 10409

ANNAPOLIS, MD

Past

August 8, 1989 - January 1, 2002

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

June 22, 1989 - April 18, 2007

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

ANAPOLIS, MD

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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.

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

California
(8/18/2026)

Florida
(8/19/2026)

IAR

Maryland
(8/19/2026)

Texas
(8/18/2026)

IAR

Texas
(8/18/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/10/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/15/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 62

Date: 4/24/2012

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 6

Date: 6/20/1989

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 3/26/2004

Investment Company Products/Variable Contracts Principal Examination

Principal/Supervisory Exam

Series 12

Date: 4/14/1999

NYSE Branch Manager Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Steven M. Roth

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Mark Roth's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

SEVERN FINANCIAL ADVISORS, LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/10/2007

Series 63

Date: 11/15/1989

SIE

Date: 10/1/2018

Series 62

Date: 4/24/2012

Series 6

Date: 6/20/1989

Series 26

Date: 3/26/2004

Series 12

Date: 4/14/1999

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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