Kathleen Roth
Kathleen Roth is a CFP-designated registered investment advisor at J. W. Cole Advisors, INC., based in Pittsford, NY, with 47 years of industry experience. Kathleen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Insurance Planning, Investment Management, and 2 more. Their firm serves 31,247 clients with $8.2B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 3.00% |
| $1.0M - $3.0M | 1.25% |
| $3.0M - $5.0M | 1.00% |
| $5.0M - $10.0M | 0.75% |
| $10M+ | 0.50% |
Fees may be negotiated or charged at a flat rate. Program fees and transaction costs may apply separately depending on the selected account type.
Fee Estimator
Location
10 Office Park Way, Ste 300, 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
J.W. Cole Financial, INC.Broker
J. W. Cole Advisors, INC.
Previous Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
American Portfolios Financial Services, INC.Broker
American Portfolios Advisors, INC
Cambridge Investment Research, INC.Broker
Cambridge Investment Research Advisors, INC.
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 Registrations15 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.
Exams
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