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James Austin Roth

Roth Financial Partners LLC

Kingwood, TX

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Current Employers
Roth Financial Partners Llc

855 Rockmead Drive Suite 703, Kingwood, TX 77339 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-10-02
  • TX RA
    APPROVED
    Since 2020-10-02

Branch Locations

855 Rockmead Drive Suite 703, Kingwood, TX 77339 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James Financial Services Kingwood TX 04/2013 08/2020
Roth Financial Partners, Llc Kingwood TX 08/2012 08/2020
Raymond James Financial Services Advisors Inc. Kingwood TX 08/2013 08/2020
Roth Financial Partners Llc Kingwood TX 08/2020 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-08-19
  • S66 Uniform Combined State Law Examination
    2013-08-19
Designations
Other Names
  • Jim Roth
  • Jimmy Roth

View on SEC IAPD

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