Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Autumn? Claim Your ProfileAutumn Roth is a financial advisor with over 20 years of experience in the financial services industry. Currently, Autumn is registered with J.P. Morgan Securities LLC and has been with the firm since 2011. Prior to joining J.P. Morgan Securities LLC, Autumn worked at Wells Fargo Securities, LLC. Autumn is licensed to provide financial services in 51 states and holds a variety of licenses and certifications including Series 63, Series 24, Series 79TO, SIE, and Series 7.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
WA
02/01/2011 - Present
J.p. Morgan Securities LLC (SEATTLE WA)
NC
07/22/2009 - 12/14/2010
WELLS FARGO SECURITIES, LLC (CHARLOTTE NC)
WA
10/09/2002 - 06/26/2009
WELLS FARGO SECURITIES, LLC (SEATTLE WA)
CA
02/23/2001 - 09/23/2002
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
BC
Issued 02/09/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/08/2023
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/22/2001
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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