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Nicholas James Roth

Raymond James & Associates, Inc.

Grand Rapids, MI

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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2016-02-11
  • MI RA
    APPROVED
    Since 2016-02-11

Branch Locations

100 Crahen Ave Ne Suite 200, Grand Rapids, MI 49525 • 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 And Associates Grand Rapids MI 01/2016 Present
  • 01/2016 → Present
    Raymond James And Associates
    Grand Rapids, MI
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-06-04
S63 Uniform Securities Agent State Law Examination 2014-11-24
  • S66 Uniform Combined State Law Examination
    2015-06-04
  • S63 Uniform Securities Agent State Law Examination
    2014-11-24

View on SEC IAPD

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