James Roth has been Co-President of Roth Financial Partners since June 2025, is a control person of the firm and directly owns under 5% of it. James Roth holds a Bachelor of Arts in Communications Studies from Biola University.
Roth Financial Partners LLC is a Kingwood, TX firm with $460M under management, 267 clients and 3 advisers across 2 offices, as of its February 2026 filing.
Jimmy Roth is a Financial Advisor at Roth Financial Partners. He is one of the primary relationship managers for the firm's client base, responsible for constructing financial plans and conducting client meetings and reviews. He joined the team in 2012 after working for an IT and engineering solutions company.
James Roth’s longest registration was 7 years at Raymond James Financial Services Advisors, Inc (2013–2020). Before joining Roth Financial Partners in 2020, James Roth was registered through Raymond James Financial Services Advisors, Inc.
- Roth Financial Partners LLCCurrent– present · 6 yearsKingwood, TX · Adviser representative · Firm CRD 309814
- Raymond James Financial Services Advisors, Inc– · 7 yearsKingwood, TX · Adviser representative · Firm CRD 149018
Professional designations
Listed by Roth Financial Partners
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
- Accredited Asset Management Specialist (AAMS®)
Investment adviser representative registrations
James Roth is registered as an investment adviser representative in Texas, since October 2020.
- TexasSince 2 October 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 21 September 2017 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 27 June 2017 |
| Series 66 | Uniform Combined State Law Examination | 19 August 2013 |
| Series 7 | General Securities Representative Examination | 15 April 2013 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- James Austin Roth
- CRD
- 5814006
- Firm
- Roth Financial Partners · CRD 309814
- Role
- Co-President
- Office
- 855 ROCKMEAD DRIVE, SUITE 703, Kingwood, TX 77339
- Registration
- Investment adviser registration
- In the industry since
- April 2013
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- rothfinancialpartners.com
Where does James Roth work?
James Roth has been Co-President of Roth Financial Partners LLC since June 2025, and is a control person of the firm.
Is James Roth a financial advisor?
Yes. James Roth has a current investment-adviser registration in Texas, through Roth Financial Partners since October 2020.
How many years of experience does James Roth have?
James Roth has 13 years in the financial industry, since April 2013, across 2 adviser firms.
What exams has James Roth passed?
James Roth has passed 4 licensing exams: the Series 7, Series 66, Series 9 and Series 10. The earliest, the Series 7, was passed in April 2013. FINRA credited James Roth with the SIE, which began in October 2018.
Where did James Roth work before Roth Financial Partners?
Before Roth Financial Partners, James Roth was registered through Raymond James Financial Services Advisors, Inc, August 2013 to October 2020.
Where is James Roth based?
James Roth’s registered office is in Kingwood, TX.
Is James Roth registered with FINRA?
No. James Roth has no current broker registration.
Is James Roth a CFP?
Roth Financial Partners lists James Roth with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify James Roth’s record?
Search CRD 5814006 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Roth’s full registration record.
