Michael S. Roth

RUSSELL INVESTMENTS

Greenfield, WI

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CRD#: 4554314

Professional summary

Michael Steven Roth, who also goes by Michael S Roth, Mike Roth, is a registered financial advisor currently at RUSSELL INVESTMENTS located in Greenfield, Wisconsin and RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC located in Milwaukee, Wisconsin.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Michael has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael S Roth | Mike 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Steven 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

May 22, 2025 - Present

RUSSELL INVESTMENTS

Office #2: 833 E. Michigan Street Suite 850, Milwaukee, WI 53202

RIA

CRD#: 105734

Greenfield, WI

Current

July 6, 2023 - Present

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

Office #1: 833 E. Michigan Street Suite 850, Milwaukee, WI 53202

CRD#: 21771

Milwaukee, WI

Past

December 5, 2019 - July 22, 2021

ANNEX WEALTH MANAGEMENT, LLC

RIA

CRD#: 127987

ELM GROVE, WI

Past

November 21, 2014 - January 5, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

MILWAUKEE, WI

Past

November 20, 2014 - January 5, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

October 6, 2011 - September 3, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

SKOKIE, IL

Past

October 6, 2005 - September 3, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

SKOKIE, IL

Past

September 4, 2002 - January 14, 2005

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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".

RUSSELL INVESTMENTS

FRANK RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENTS | RUSSELL INVESTMENT MANAGEMENT, LLC | RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENT GROUP

CRD#: 105734 / SEC#: 801-17141

RIA

Registered Investment Advisory firm - (5/21/1982 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

Alabama
(5/22/2025)

Alaska
(5/23/2025)

Arizona
(5/27/2025)

Arkansas
(6/9/2025)

California
(5/22/2025)

Colorado
(5/27/2025)

Connecticut
(5/22/2025)

Delaware
(5/27/2025)

Florida
(5/23/2025)

Georgia
(5/27/2025)

Idaho
(5/22/2025)

Illinois
(5/23/2025)

Indiana
(5/22/2025)

Iowa
(5/23/2025)

Kansas
(5/22/2025)

Kentucky
(5/27/2025)

Louisiana
(5/22/2025)

Maine
(5/22/2025)

Maryland
(5/22/2025)

Massachusetts
(5/23/2025)

Michigan
(5/27/2025)

Minnesota
(5/27/2025)

Mississippi
(5/22/2025)

Missouri
(5/22/2025)

Montana
(5/27/2025)

Nebraska
(5/22/2025)

Nevada
(5/27/2025)

New Hampshire
(5/22/2025)

New Jersey
(5/22/2025)

New Mexico
(5/23/2025)

New York
(5/22/2025)

North Carolina
(5/22/2025)

North Dakota
(5/27/2025)

Ohio
(5/22/2025)

Oklahoma
(5/22/2025)

Oregon
(5/22/2025)

Pennsylvania
(5/23/2025)

Rhode Island
(5/28/2025)

South Carolina
(5/27/2025)

South Dakota
(5/22/2025)

Tennessee
(5/23/2025)

Texas
(5/22/2025)

Utah
(5/22/2025)

Vermont
(5/22/2025)

Virginia
(5/22/2025)

Washington
(5/22/2025)

IAR

Washington
(5/22/2025)

West Virginia
(6/4/2025)

Wisconsin
(11/25/2024)

IAR

Wisconsin
(5/22/2025)

Wyoming
(5/23/2025)

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: 9/9/2024

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/18/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/5/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/5/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/23/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/3/2002

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

RUSSELL INVESTMENTS

FRANK RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENTS | RUSSELL INVESTMENT MANAGEMENT, LLC | RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENT GROUP

CRD#: 105734 / SEC#: 801-17141

RIA

Registered Investment Advisory firm - (5/21/1982 Approved)

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Contact information

Main Address

1301 Second Avenue 18th Floor, Seattle, WA 98101

Mailing Address

Phone number

(206) 505-7877

Established

Firm type

Fiscal year end

# of Employees

589

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RUSSELL INVESTMENT MANAGEMENT, LLC (3/28/2025)

Regulatory assets under management

Total Number of Accounts	69,312
AUM (Assets Under Management)	$ 62,376,876,918

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

Michael S. Roth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

ANNEX WEALTH MANAGEMENT, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

RUSSELL INVESTMENTS

State Registrations and Notice Filings

Exams

Series 66

Date: 9/9/2024

Series 63

Date: 9/18/2002

Series 7TO

Date: 7/5/2023

SIE

Date: 1/5/2015

Series 7

Date: 12/23/2003

Series 6

Date: 9/3/2002

FINRA

Current Firm

RUSSELL INVESTMENTS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RUSSELL INVESTMENTS

TRUST BUT VERIFY

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