JR
Jonathan D. Roth
PT ASSET MANAGEMENT
Chicago, IL 60661
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CRD#: 8030346
JR
Professional summary
Jonathan Daniel Roth is a registered financial advisor currently at PT ASSET MANAGEMENT, LLC located in Chicago, Illinois and ALPS DISTRIBUTORS, INC. located in Chicago, Illinois.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2025. Jonathan has worked at 2 firms and has passed the Series 66, Series 7TO and SIE 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.
1. PT Asset Management; Investment-Related; 500 W Madison St #500 Chicago, IL 60661; Asset Management; Internal Advisor Consultant; 09/01/2024; 160 HRS/MON; 130 HRS/MON During Trading Hours. 2. Roth Music Group; Not Investment-Related; Address on File; Digital Merchandise; Sole Proprietor; 08/21/2006; 1 HR/MON; None During Trading Hours. 3. Monarch Clinics PC; Not Investment-Related; 2100 Manchester Rd Building B Suite 1080-D Wheaton, IL 60187; Psychological Assessments; Registered Agent; 09/07/2017; 1HR/MON; None During Trading Hours.
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Daniel 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
March 12, 2025 - Present
PT ASSET MANAGEMENT, LLC
Office #1: 500 W. Madison Street Suite 500, Chicago, IL 60661RIA
CRD#: 107619
Chicago, IL
Current
February 27, 2025 - Present
ALPS DISTRIBUTORS, INC.
Office #1: 500 W. Madison Street Suite 500, Chicago, IL 60661BD
CRD#: 16853
Chicago, IL
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".
PA
PT ASSET MANAGEMENT, LLC
BETZOLD BERG INVESTMENT MANAGEMENT INC | PTMR ADVISORS, LLC (RELYING ADVISER) | PT ASSET MANAGEMENT, LLC | PERFORMANCE TRUST INVESTMENT ADVISORS, LLC | PERFORMANCE TRUST INVESTMENT ADVISORS, INC. | PERFORMANCE TRUST CAPITAL PARTNERS, INC. | PERFORMANCE TRUST ASSET MANAGEMENT, LLC | BETZOLD INVESTMENT GROUP, INC. | BETZOLD BERG INVESTMENT MANAGEMENT, INC.
CRD#: 107619 / SEC#: 801-46031
RIA
Registered Investment Advisory firm - (3/11/1994 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
Illinois(2/27/2025)
IAR
Illinois(3/12/2025)
RR
Indiana(2/27/2025)
RR
Iowa(2/27/2025)
RR
Kansas(2/27/2025)
RR
Kentucky(2/27/2025)
RR
Michigan(2/27/2025)
RR
Minnesota(2/27/2025)
RR
Missouri(2/27/2025)
RR
Nebraska(2/27/2025)
RR
Ohio(2/28/2025)
RR
Wisconsin(2/27/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/27/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PT ASSET MANAGEMENT, LLC
BETZOLD BERG INVESTMENT MANAGEMENT INC | PTMR ADVISORS, LLC (RELYING ADVISER) | PT ASSET MANAGEMENT, LLC | PERFORMANCE TRUST INVESTMENT ADVISORS, LLC | PERFORMANCE TRUST INVESTMENT ADVISORS, INC. | PERFORMANCE TRUST CAPITAL PARTNERS, INC. | PERFORMANCE TRUST ASSET MANAGEMENT, LLC | BETZOLD INVESTMENT GROUP, INC. | BETZOLD BERG INVESTMENT MANAGEMENT, INC.
CRD#: 107619 / SEC#: 801-46031
RIA
Registered Investment Advisory firm - (3/11/1994 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
500 W. Madison Street Suite 500, Chicago, IL 60661
Mailing Address
Phone number
(312) 521-1000
Established
Firm type
Fiscal year end
# of Employees
52
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6 |
| AUM (Assets Under Management) | $ 9,587,215,582 |
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.
