John M. Roth

Some features on this profile are disabled

CRD#: 2417822

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John Michael Roth was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1993. John had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 8, 2018 - June 17, 2020

USAA INVESTMENT SERVICES COMPANY

RIA

CRD#: 5475

SAN ANTONIO, TX

Past

April 2, 2007 - January 8, 2018

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

PHOENIX, AZ

Past

March 23, 2007 - June 16, 2020

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

PHOENIX, AZ

Past

April 27, 2005 - May 2, 2005

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

CAREFREE, AZ

Past

April 19, 2005 - May 2, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

February 21, 2003 - June 28, 2004

ZIONS DIRECT, INC.

RIA

CRD#: 17776

SCOTTSDALE, AZ

Past

January 10, 2003 - April 13, 2005

ZIONS DIRECT, INC.

CRD#: 17776

SALT LAKE CITY, UT

Past

May 10, 2000 - December 31, 2002

TABLE MOUNTAIN INVESTMENTS LLC

RIA

CRD#: 115881

PHOENIX, AZ

Past

January 12, 1994 - January 3, 2003

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

November 3, 1993 - December 14, 1993

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

November 3, 1993 - December 14, 1993

AMERIPRISE FINANCIAL SERVICES, LLC

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".

USAA INVESTMENT SERVICES COMPANY

USAA INVESTMENT MANAGEMENT CO. | USAA WEALTH MANAGEMENT | USAA INVESTMENTS | USAA INVESTMENT SERVICES COMPANY | USAA INVESTMENT MANAGEMENT COMPANY

CRD#: 5475 / SEC#: 801-126328, 8-41241

RIA

Registered Investment Advisory firm - SEC (8/3/2022 Approved)

Arizona

Registered Investment Advisory firm - SEC (8/19/2022 Terminated)

Colorado

Registered Investment Advisory firm - SEC (8/24/2022 Terminated)

Florida

Registered Investment Advisory firm - SEC (8/19/2022 Terminated)

Texas

Registered Investment Advisory firm - SEC (8/19/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 65

Date: 9/25/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/4/1993

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: 11/1/1993

General Securities Representative Examination

Current Firm

USAA INVESTMENT SERVICES COMPANY

USAA INVESTMENT MANAGEMENT CO. | USAA WEALTH MANAGEMENT | USAA INVESTMENTS | USAA INVESTMENT SERVICES COMPANY | USAA INVESTMENT MANAGEMENT COMPANY

CRD#: 5475 / SEC#: 801-126328, 8-41241

RIA

Registered Investment Advisory firm - SEC (8/3/2022 Approved)

Arizona

Registered Investment Advisory firm - SEC (8/19/2022 Terminated)

Colorado

Registered Investment Advisory firm - SEC (8/24/2022 Terminated)

Florida

Registered Investment Advisory firm - SEC (8/19/2022 Terminated)

Texas

Registered Investment Advisory firm - SEC (8/19/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

9800 Fredericksburg Road, San Antonio, TX 78288-0227

Mailing Address

9800 Fredericksburg Road, San Antonio, TX 78288-0227

Phone number

(800) 531-7960

Established

Delaware since 09/01/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

152

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ISCO PART2A INVESTMENT SERVICES BROCHURE MAY 2025 (5/29/2025)

ISCO FOMR ADV PART 2B BROCHURE SUPPLEMENT MARCH 2025 (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
USAA INVESTMENT CORPORATION (PARENT CO.)	SHAREHOLDER
BEALL, KEVIN DOUGLAS	VICE PRESIDENT, DIRECTOR	4202452
CARTER, BRANDON DANE	DIRECTOR, CHAIRMAN OF THE BOARD	2939393
ECK, FRANK THOMAS IV	SECRETARY	7979835
FLORES, JENNIFER MARGRET	FINOP AND PRINCIPAL FINANCIAL OFFICER	4175069
HANKS, KARE ELIZABETH	DIRECTOR, VICE PRESIDENT	2883762
MUIR, JAMES DYER	CHIEF COMPLIANCE OFFICER	2801996
PEREZ-ROSSELLO, MADELINE IVETTE	ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER	4033239
STORK, MARY ELIZABETH	DIRECTOR	2960253
WHITE, WILLIAM SWEENEY	PRESIDENT, VICE-CHAIRMAN, DIRECTOR	4843743

Disclosures

Regulatory Event	1
Arbitration	4

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John M. Roth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

ZIONS DIRECT, INC.

ZIONS DIRECT, INC.

TABLE MOUNTAIN INVESTMENTS LLC

SUNAMERICA SECURITIES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

USAA INVESTMENT SERVICES COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/1998

Series 63

Date: 11/4/1993

SIE

Date: 10/1/2018

Series 7

Date: 11/1/1993

Current Firm

USAA INVESTMENT SERVICES COMPANY

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

USAA INVESTMENT SERVICES COMPANY

TRUST BUT VERIFY

Similar Advisors