James Austin Roth
Investment Adviser Representative at ROTH Financial Partners LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
James Austin Roth is an investment adviser representative with ROTH Financial Partners LLC in Kingwood, TX, where they have been registered since 2020. They have worked in the securities industry since 2013 and were previously registered with Raymond James Financial Services Advisors, Inc. They have passed 5 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 9 (options sales supervisor). They are registered to provide investment advice in Texas.
Office
Advisors at this office: 3
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Texas
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Raymond James Financial ServicesApr 2013 – Aug 2020Kingwood, TX
- ROTH Financial Partners, LLCAug 2012 – Aug 2020Kingwood, TX
- Raymond James Financial Services Advisors Inc.Aug 2013 – Aug 2020Kingwood, TX
- ROTH Financial Partners LLCAug 2020 – no end date reportedKingwood, TX
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About ROTH Financial Partners LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Comprehensive wealth management encompassing five areas: Wealth Preservation (mitigating risks to assets and income), Wealth Enhancement (tax planning and proactive strategy), Wealth Investment (portfolio construction based on long-term plans), Wealth Transfer (estate planning and charitable giving), and Wealth Alignment (aligning wealth management with clients' values and goals).
Client types the firm serves
Firm assets under management
$100M–$500M
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 3
- Offices listed on AdvisorFinder:
- 1
- Main office:
- Kingwood, TX
- SEC file number:
- 801-119326
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of February 19, 2026
View full firm profileOther advisors at ROTH Financial Partners LLC
2 other advisors in the directory
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Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. James Austin Roth has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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