Jody J. Roth

CWM

Fort Collins, CO 80525

CRD#: 4030963

Some features on this profile are disabled

Professional summary

Jody Jeremiah Roth, CFP® is a registered financial advisor currently at CWM, LLC located in Fort Collins, Colorado and CETERA INVESTMENT ADVISERS LLC located in Fort Collins, Colorado.

Jody is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Jody has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Jody Jeremiah 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

Start date: 2008

Experience

Current

March 11, 2024 - Present

CWM, LLC

Office #1: 4025 Automation Way, Unit B-4, Fort Collins, CO 80525

RIA

CRD#: 155344

Fort Collins, CO

Current

March 11, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 4025 Automation Way B4, Fort Collins, CO 80525

RIA

CRD#: 105644

Fort Collins, CO

Current

March 11, 2024 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 4025 Automation Way B4, Fort Collins, CO 80525

CRD#: 13572

Fort Collins, CO

Past

November 14, 2017 - March 13, 2024

TRIAD ADVISORS LLC

CRD#: 25803

Fort Collins, CO

Past

October 4, 2016 - March 11, 2024

CONTINUUM ADVISORY, LLC

RIA

CRD#: 283155

Fort Collins, CO

Past

May 13, 2016 - November 17, 2017

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

FORT COLLINS, CO

Past

May 13, 2016 - November 17, 2017

SIGNATOR INVESTORS, INC.

CRD#: 468

FORT COLLINS, CO

Past

December 10, 2003 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

FORT COLLINS, CO

Past

September 30, 1999 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

FORT COLLINS, CO

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

Arizona
(4/19/2024)

Arkansas
(3/11/2024)

California
(2/13/2025)

Colorado
(3/11/2024)

IAR

Colorado
(3/11/2024)

Florida
(4/2/2024)

Idaho
(3/11/2024)

Missouri
(3/11/2024)

Montana
(4/2/2024)

New York
(3/11/2024)

North Carolina
(3/19/2024)

North Dakota
(3/11/2024)

Oregon
(3/11/2024)

Rhode Island
(3/11/2024)

South Dakota
(3/11/2024)

Texas
(3/11/2024)

IAR

Texas
(3/11/2024)

Utah
(3/11/2024)

Wyoming
(3/11/2024)

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 66

Date: 12/9/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/28/1999

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: 8/29/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/28/1999

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

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

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

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

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

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.

Similar Advisors

Tyler Vasquez

THREE ARCH WEALTH MANAGEMENT LLC

IAR

IRVINE, CA

Augustine Hong

HIGHTOWER ADVISORS, LLC

IAR

BRADENTON, FL

Quinten Smith

FORTHRIGHT CAPITAL ADVISORY

IAR

Princeton, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jody J. Roth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jody Jeremiah Roth's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

TRIAD ADVISORS LLC

CONTINUUM ADVISORY, LLC

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/9/2003

Series 63

Date: 9/28/1999

SIE

Date: 10/1/2018

Series 7

Date: 8/29/2001

Series 6

Date: 9/28/1999

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

Similar Advisors