JR
Jonathon A. Roth
PRINCIPAL SECURITIES
Fresno, CA 93711
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CRD#: 5326721
JR
Professional summary
Jonathon Andrew Roth is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Fresno, California.
Jonathon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Jonathon has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 51 and Series 24 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.
**Fixed Insurance; Investment Related; 1478 Stone Point Drive, Suite 390, Roseville, CA 95661; Insurance Agent; sales and service of life, disability, annuity, health and long-term care insurance through various carriers; Start Date: 08/30/2018; 1 hrs per month; 1 during trading hours. **ADVNC LACROSSE POSITION: Lacrosse Coach NATURE: Paid Lacrosse Coach INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 05/22/2023 ADDRESS: 416 SIENNA RIVER COURT, ROSEVILLE, CA CA 95747, United States DESCRIPTION: I will be coaching a summer tournament team for the youth lacrosse club. No other duties related to running the club, just coaching a team. **ROSEVILLE YOUTH LACROSSE POSITION: Vice President NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2023 ADDRESS: 416 SIENNA RIVER COURT, ROSEVILLE, CA CA 95747, United States DESCRIPTION: Youth sports organization vice president board of directors.
CRS (Client Relationship Summary) - RIA
Click below to view Jonathon Andrew Roth's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jonathon Andrew 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
January 2, 2014 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 1010 W Alluvial Ave Ste 111, Fresno, CA 93711Office #2: 1478 Stone Point Dr Ste 390, Roseville, CA 95661RIA
BD
CRD#: 1137
Fresno, CA
Current
September 3, 2013 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 1010 W Alluvial Ave Ste 111, Fresno, CA 93711Office #2: 1478 Stone Point Dr Ste 390, Roseville, CA 95661RIA
BD
CRD#: 1137
Fresno, CA
Past
October 5, 2011 - September 6, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
ROSEVILLE, CA
Past
September 29, 2011 - September 6, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
ROSEVILLE, CA
Past
August 9, 2010 - July 7, 2011
MORGAN STANLEY
BD
CRD#: 149777
PALO ALTO, CA
Past
July 2, 2010 - July 7, 2011
MORGAN STANLEY
RIA
CRD#: 149777
PALO ALTO, CA
Past
July 30, 2007 - December 20, 2010
BROWNSON, REHMUS & FOXWORTH, INC.
RIA
CRD#: 110608
MENLO PARK, CA
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".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City 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
Arizona(4/24/2019)
RR
Arkansas(9/21/2022)
RR
California(9/3/2013)
IAR
California(1/2/2014)
RR
Colorado(11/19/2020)
RR
Florida(1/17/2024)
RR
Idaho(6/27/2019)
RR
Massachusetts(1/13/2015)
RR
Nevada(10/9/2013)
RR
North Carolina(10/9/2013)
RR
Oklahoma(4/11/2025)
RR
Oregon(11/5/2014)
RR
Pennsylvania(4/5/2016)
RR
South Dakota(12/20/2024)
RR
Texas(1/10/2020)
IAR
Texas(6/16/2021)
RR
Utah(11/3/2023)
RR
Washington(11/5/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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
PRINCIPAL SECURITIES, INC.
CRD#: 1137Fresno, CA 93711TRUST BUT VERIFY
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