Kevin B. Roth

TANGLEWOOD LEGACY ADVISORS

Houston, TX 77056

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CRD#: 5826198

Professional summary

Kevin Bruce Roth, CFP® is a registered financial advisor currently at TANGLEWOOD LEGACY ADVISORS, LLC located in Houston, Texas.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Kevin has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 9 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.

KW WEALTH LLC. NOT INVESTMENT RELATED. KINGWOOD, TX. STARTED:02/2017. 0 HRS PER MONTH. SUPPORT COMPANY FOR LEASE AND OFFICE EXPENSES. OWNER.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Bruce 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: 2013

Experience

Current

April 13, 2018 - Present

TANGLEWOOD LEGACY ADVISORS, LLC

Office #1: One Riverway, Suite 1550, Houston, TX 77056

RIA

CRD#: 127289

Houston, TX

Past

June 29, 2016 - April 16, 2018

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

KINGWOOD, TX

Past

June 2, 2011 - April 16, 2018

RAYMOND JAMES FINANCIAL SERVICES, INC.

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".

TANGLEWOOD LEGACY ADVISORS, LLC

LIFE PRIORITY PLANNING, LLC | TANGLEWOOD LEGACY ADVISORS, LLC

CRD#: 127289 / SEC#: 801-107793

RIA

Registered Investment Advisory firm - (5/18/2016 Approved)

Texas

Registered Investment Advisory firm - (5/23/2016 Terminated)

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.

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
(4/13/2018)

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

Series 63

Date: 6/14/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/16/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/1/2011

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 2/20/2018

General Securities Sales Supervisor - Options Module Examination

Current Firm

TANGLEWOOD LEGACY ADVISORS, LLC

LIFE PRIORITY PLANNING, LLC | TANGLEWOOD LEGACY ADVISORS, LLC

CRD#: 127289 / SEC#: 801-107793

RIA

Registered Investment Advisory firm - (5/18/2016 Approved)

Texas

Registered Investment Advisory firm - (5/23/2016 Terminated)

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Contact information

Main Address

One Riverway, Suite 1550, Houston, TX 77056

Mailing Address

Phone number

(713) 599-4999

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (2/2/2025)

Regulatory assets under management

Total Number of Accounts	522
AUM (Assets Under Management)	$ 562,079,455

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

Kevin B. Roth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Bruce Roth's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

TANGLEWOOD LEGACY ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/14/2011

SIE

Date: 4/16/2018

Series 7

Date: 6/1/2011

Series 9

Date: 2/20/2018

Current Firm

TANGLEWOOD LEGACY ADVISORS, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TANGLEWOOD LEGACY ADVISORS, LLC

TRUST BUT VERIFY

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