Kathleen Marie Roth

Employer firm

J. W. Cole Advisors, Inc. CRD 112294

$8.25B regulatory AUM 1,971 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Selection of other advisers
• Educational seminars
• HOURLY & FIXED RATE CONSULTING

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2011 → 06/2021
  Cambridge Investment Research, Inc
  Fairfield, IA
• 05/2011 → 07/2021
  Cambridge Investment Research Advisors, Inc
  Fairfield, IA
• 07/2021 → 10/2024
  American Portfolios Financial Services, Inc.
  Rochester, NY
• 10/2024 → 05/2026
  Osaic Wealth, Inc.
  Scottsdale, AZ
• 05/2026 → Present
  J.W. Cole Financial, Inc.
  Tampa, FL
• 05/2026 → Present
  J.W. Cole Advisors, Inc.
  Tampa, FL

Previous Registrations

• 2024-10-11 → 2026-05-18
  Osaic Wealth, Inc.
  Ponte Vedra Beach, FL
  Pittsford, NY
  Scottsdale, AZ
• 2021-07-06 → 2024-10-11
  American Portfolios Advisors, Inc
  Holbrook, NY
• 2011-05-31 → 2021-07-09
  Cambridge Investment Research Advisors, Inc.
  Salt Lake City, UT
  Pittsford, NY
• 2009-09-09 → 2011-05-31
  Ensemble Financial Services, Inc.
  Pittsford, NY
  Pittsford, NY
  Pittsford, NY
• 2007-04-10 → 2009-08-17
  Waterstone Financial Group, Inc.
  Rochester, NY
  Rochester, NY

Other Businesses

(1) Waterstone Financial Services; DBA; Insurance Products; 10 Office Park Way, Ste 300, Pittsford, NY 14534; Investment Related; Independent Advisor; Start 6/1/2026; 6 hours/month, 6 hours/month during trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-03-22
• S63 Uniform Securities Agent State Law Examination
  1984-06-13

Designations

• Certified Financial Planner

Other Names

• Kathleen Marie Povlick