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JR

James A. Roth

ROTH FINANCIAL PARTNERS LLC
Kingwood, TX 77339
Some features on this profile are disabled
CRD#: 5814006
JR

Professional summary

James Austin Roth, CFP®, who also goes by Jim Roth, Jimmy Roth, is a registered financial advisor currently at ROTH FINANCIAL PARTNERS LLC located in Kingwood, Texas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. James has worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jim Roth | Jimmy 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 James Austin 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

Experience

Current

October 2, 2020 - Present

ROTH FINANCIAL PARTNERS LLC

Office #1: 855 Rockmead Drive Suite 703, Kingwood, TX 77339
RIA
CRD#: 309814
Kingwood, TX
Past

August 26, 2013 - October 2, 2020

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
KINGWOOD, TX
Past

April 16, 2013 - October 2, 2020

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
KINGWOOD, TX

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".
RF
ROTH FINANCIAL PARTNERS LLC
ROTH FINANCIAL PARTNERS LLC | ROTH FINANCIAL PARTNERS, LLC

CRD#: 309814 / SEC#: 801-119326

RIA
Registered Investment Advisory firm - (8/20/2020 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.

Highlighted states indicate IAR registrations

IAR
Texas
(10/2/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/19/2013
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/15/2013
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 9/21/2017
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 6/27/2017
General Securities Sales Supervisor - Options Module Examination

Current Firm

RF
ROTH FINANCIAL PARTNERS LLC
ROTH FINANCIAL PARTNERS LLC | ROTH FINANCIAL PARTNERS, LLC

CRD#: 309814 / SEC#: 801-119326

RIA
Registered Investment Advisory firm - (8/20/2020 Approved)
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Contact information

Main Address
855 Rockmead Drive Suite 703, Kingwood, TX 77339
Mailing Address
Phone number
(281) 973-8816
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A (2/18/2026)

Regulatory assets under management

Total Number of Accounts708
AUM (Assets Under Management)$ 460,120,257

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

ROTH FINANCIAL PARTNERS LLC

CRD#: 309814Kingwood, TX 77339

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