Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Marie Roth has over 40 years of experience in the financial services industry. She is a CERTIFIED FINANCIAL PLANNER™ professional and has been registered as an investment advisor representative since 1979. Kathleen has held several positions in the financial industry, most recently with Osaic Wealth, Inc. Before joining Osaic Wealth, Inc., Kathleen was a financial advisor with Cambridge Investment Research, Inc., Ensemble Financial Services, Inc., Waterstone Financial Group, Inc. and Sage, Rutty & Co., Inc.. Kathleen specializes in financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses, and portfolio management for individuals.
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
AZ
10/11/2024 - Present
Osaic Wealth, Inc. (SCOTTSDALE AZ)
NY
05/31/2011 - 07/09/2021
CAMBRIDGE INVESTMENT RESEARCH, INC. (PITTSFORD NY)
NY
08/25/2009 - 05/31/2011
ENSEMBLE FINANCIAL SERVICES, INC. (PITTSFORD NY)
NY
05/19/2003 - 08/17/2009
WATERSTONE FINANCIAL GROUP, INC. (ROCHESTER NY)
NY
12/04/1989 - 05/13/2003
SAGE, RUTTY & CO., INC. (ROCHESTER NY)
NJ
03/26/1981 - 12/07/1989
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
11/07/1989 - 11/29/1989
SAGE, RUTTY & CO., INC.
NA
06/15/1979 - 11/20/1983
IDS LIFE INSURANCE COMPANY
NA
06/15/1979 - 11/20/1983
IDS MARKETING CORPORATION
NA
06/15/1979 - 04/25/1981
INVESTORS DIVERSIFIED SERVICES, INC.
IA
Issued 03/22/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/13/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/16/1981
Series 7 - General Securities Representative Examination
BC
Issued 06/11/1979
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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