Unclaimed
Jonathan Lee Roth is an investment advisor representative with Cetera Investment Advisers LLC. Jonathan has been in the industry since May 10, 2002, and has held registrations with several firms, including Northwestern Mutual Investment Services, LLC, American Portfolios Financial Services, Inc., and North Ridge Securities Corp. Jonathan is currently registered in New York, Florida, Montana, Tennessee, and New Jersey. Jonathan is also registered as an investment advisor representative in New York.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
NY
02/01/2021 - Present
Cetera Investment Advisers LLC (WESTBURY NY)
NY
02/23/2016 - 08/07/2018
NORTH RIDGE SECURITIES CORP. (Jericho NY)
NY
06/30/2015 - 12/23/2015
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. (Melville NY)
NY
08/16/2011 - 04/27/2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (GREAT NECK NY)
NY
03/18/2011 - 03/22/2011
BLAYLOCK ROBERT VAN, LLC (NEW YORK NY)
NY
08/13/2010 - 03/18/2011
BLAYLOCK ROBERT VAN, LLC (NEW YORK NY)
MA
05/06/1994 - 08/26/2005
SELIGMAN ADVISORS, INC. (BOSTON MA)
BOTH
Issued 1/20/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/14/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/28/2020
Series 7TO - General Securities Representative Examination
BC
Issued 8/7/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/12/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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