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Nicole Roth

Cetera Investment Advisers LLC

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About Nicole Roth

Nicole Roth is a financial advisor currently registered with Cetera Investment Advisers LLC. Nicole Roth has been in the financial services industry for over 10 years. She is licensed to provide financial advice in multiple states. Nicole Roth is a registered investment advisor and a registered representative. She is also a licensed attorney providing business, estate planning and other legal services. She is a Series 6, 63 and 65 licensed representative and holds the SIE designation. Nicole Roth is committed to helping her clients achieve their financial goals.

Firm Information

Nicole Roth is currently registered with Cetera Investment Advisers LLC. Cetera Investment Advisers LLC is a financial services firm headquartered in Schaumburg, Illinois. The firm offers a wide range of financial planning and investment advisory services to individuals, corporations, pension plans, and charitable organizations. Cetera manages over $104 billion in assets for clients. The firm has a large network of licensed financial advisors and investment advisory representatives, serving over 423,000 clients across the country.
Cetera Investment Advisers LLC

1450 AMERICAN LANE

SCHAUMBURG, IL 60173-2096

$104.47B

Assets Under Management

16,618

Total Clients

7,280

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Nicole Roth’s Registration & Firm History

IL

10/17/2011 - Present

Cetera Investment Advisers LLC (CHICAGO IL)

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Licenses & Designations

IA

Issued 10/14/2011

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/02/2011

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/11/2011

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Nicole Roth.
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