Karen Lisa Roth

Employer firm

Commonwealth Financial Network CRD 8032

$213B regulatory AUM 20,450 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

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

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

Current Employers

Employment History

• 03/2013 → 02/2020
  Cambridge Investment Research, Inc
  Fairfield, IA
• 03/2013 → 02/2020
  Cambridge Investment Research Advisors, Inc
  Fairfield, IA
• 02/2020 → Present
  Commonwealth Financial Network
  Waltham, MA
• 02/2020 → Present
  Apogee Wealth Advisors Llc
  Waltham, MA

Previous Registrations

• 2013-03-11 → 2020-02-21
  Cambridge Investment Research Advisors, Inc.
  New York, NY
  Chappaqua, NY
  Pleasantville, NY
• 2013-02-27 → 2013-03-11
  Commonwealth Financial Network
  New York, NY

Other Businesses

1. Managing Partner/Co-Owner, Apogee Wealth Advisors, LLC, a private entity established as an operating company for securities business; As of 02/10/20; 0% time spent during regular business hours; Conducted at branch; Investment related. 2. Fixed insurance sales, as an Agent, under the name 'Apogee Wealth Advisors'; As of 02/10/20; 5% time spent during regular business hours; Conducted at branch; Investment related.

Exams

• S65 Uniform Investment Adviser Law Examination
  2010-09-21
• S63 Uniform Securities Agent State Law Examination
  2009-12-07

Designations

• Chartered Financial Analyst