Kathleen Roth
Kathleen Roth is a CFP-designated registered investment advisor at Osaic Wealth, INC., based in Pittsford, NY, with 46 years of industry experience. Kathleen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Education Planning, Estate Planning, Investment Management, and 1 more. Their firm serves 574,829 clients with $200B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Wealth offers investment management through several platforms, including Advisor Managed Portfolios, Unified Managed Accounts, and Signator Managed Account Platform. Fees are negotiable and based on a percentage of the assets in your account. The fees cover advisory services, custodial services, and in some cases, transaction costs. Mutual funds and ETFs within these accounts have their own internal fees. Some programs have wrap accounts where all costs are bundled into one fee.
Location
55 Sully's Trl, Suite F, Pittsford, NY, 14534
Get directionsHistory
Regulatory History (5)
Customer Dispute
May 2013Customer Dispute
April 1998Customer Dispute
January 1995Customer Dispute
September 1994Customer Dispute
September 1994Other Business ActivitiesSells Insurance
Kathleen is an independent insurance agent for various independent insurance companies through Waterstone Financial Services since 2011, dedicating minimal time to this activity. She is also an authorized Modern Widows Club facilitator through Moving Forward for Women since 2017, also dedicating minimal time.
Employment History
Current Registrations
Osaic Wealth, INC.
Osaic Wealth, INC.Broker
Previous Registrations
American Portfolios Financial Services, INC.Broker
American Portfolios Advisors, INC
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.Broker
Ensemble Financial Services, INC.
Ensemble Financial Services, INC.Broker
Waterstone Financial Group, INC.
Waterstone Financial Group, INC.Broker
Sage, Rutty & CO., INC.Broker
Sage, Rutty & CO., INC.Broker
Painewebber IncorporatedBroker
Ids Life Insurance CompanyBroker
Ids Marketing CorporationBroker
Investors Diversified Services, INC.Broker
State Registrations17 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.