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Nicholas F. Roth

BUCK WEALTH STRATEGIES
Honolulu, HI 96813
Some features on this profile are disabled
CRD#: 6785343
NR

Professional summary

Nicholas Frank Roth, CFP®, who also goes by Nicholas Frank Roth, Nickolas Roth, Nicholas Roth, Nick Roth, is a registered financial advisor currently at BUCK WEALTH STRATEGIES, LLC located in Honolulu, Hawaii and MADISON AVENUE SECURITIES, LLC located in Honolulu, Hawaii.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Nicholas has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Nicholas Frank Roth | Nickolas Roth | Nicholas Roth | Nick 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 Nicholas Frank 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

May 4, 2026 - Present

BUCK WEALTH STRATEGIES, LLC

Office #1: 55 Merchant St Ste 2100, Honolulu, HI 96813
RIA
CRD#: 322138
Honolulu, HI
Current

May 4, 2026 - Present

MADISON AVENUE SECURITIES, LLC

Office #1: 55 Merchant Street Suite 2100, Honolulu, HI 96813
RIA
BD
CRD#: 23224
Honolulu, HI
Past

August 29, 2022 - May 7, 2024

THE STRATEGIC FINANCIAL ALLIANCE, INC.

RIA
CRD#: 126514
Honolulu, HI
Past

August 29, 2022 - May 7, 2024

THE STRATEGIC FINANCIAL ALLIANCE, INC.

BD
CRD#: 126514
Honolulu, HI
Past

October 10, 2018 - March 21, 2022

BANKOH INVESTMENT SERVICES, INC.

RIA
CRD#: 29280
HONOLULU, HI
Past

October 10, 2018 - March 21, 2022

BANKOH INVESTMENT SERVICES, INC.

BD
CRD#: 29280
HONOLULU, HI
Past

July 14, 2017 - April 27, 2018

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
BELLEVUE, WA

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".
BW
BUCK WEALTH STRATEGIES, LLC
BUCK WEALTH STRATEGIES, LLC | JOHN INGRAHAM, LLC | E. A. BUCK FINANCIAL SERVICES

CRD#: 322138 / SEC#: 801-126075

RIA
Registered Investment Advisory firm - (7/12/2022 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.
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
Hawaii
(5/4/2026)
IAR
Hawaii
(5/4/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/28/2018
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/27/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/14/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BW
BUCK WEALTH STRATEGIES, LLC
BUCK WEALTH STRATEGIES, LLC | JOHN INGRAHAM, LLC | E. A. BUCK FINANCIAL SERVICES

CRD#: 322138 / SEC#: 801-126075

RIA
Registered Investment Advisory firm - (7/12/2022 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
4600 S. Syracuse Street Suite 650, Denver, CO 80237
Mailing Address
Phone number
(888) 210-6567
Established
Firm type
Fiscal year end
# of Employees
66

SEC notice filing (31 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 BROCHURE (8/11/2025)

Regulatory assets under management

Total Number of Accounts3,982
AUM (Assets Under Management)$ 565,377,646

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/14/2026
Cover Page
Report
12/03/2024
Cover Page
Report
01/26/2024
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.

Company Information

BUCK WEALTH STRATEGIES, LLC

CRD#: 322138Honolulu, HI 96813

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