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Peter Bruce Roth

Investment Adviser Representative at ROTH FINANCIAL PARTNERS LLC

Kingwood, TXCRD #1201110Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
43 yrs
States Registered
1 states
Exams Passed
4

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Peter Bruce Roth has worked in the securities industry since 1983. They are registered to provide investment advisory services in Texas.

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Texas
Examinations passed
Series 63
Uniform Securities Agent State Law Examination
Passed 10/25/1983
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 10/15/1983
Series 8
General Securities Sales Supervisor Examination (Options Module & General Module)
Passed 3/4/1999

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

ROTH Financial Partners LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

ROTH FINANCIAL PARTNERS LLCCurrent
10/2/2020Kingwood, TX
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
5/10/201010/2/2020Kindwood, TX
UBS FINANCIAL SERVICES INC.
11/5/19995/13/2010Houston, TX

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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View ROTH FINANCIAL PARTNERS LLC firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Peter Bruce 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.