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Detailed Report
Joshua Michael Roth
Josh Michael Roth, Josh Roth, Joshua M. Roth
CRD#: 7367758
IA
Investment Adviser
B
Broker
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 600 E 96th St Ste 120
INDIANAPOLIS, IN 46240
Registration History
2021202220232024202520262 FIRMS2022 - 2023 (1 year)2 FIRMS2024 - Present (1 year)BCETERA ADVISORS LLC (CRD# 10299)2021 - 2022 (<1 year)IACETERA ADVISORS LLC (CRD# 10299)2022 - 2022 (<1 year)
License(s)

State Registrations

B
Indiana 1/25/2024
IA
Indiana 1/25/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881)
600 E 96th St Ste 120, INDIANAPOLIS, IN 46240
Registered with this firm since 1/25/2024
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)
600 E 96th St Ste 120, INDIANAPOLIS, IN 46240
Registered with this firm since 1/25/2024
Previous Registration(s)
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IA
 08/10/2022 - 10/25/2023 SCHWAB WEALTH ADVISORY, INC. (CRD#:159035) Indianapolis, IN
B
 08/10/2022 - 10/25/2023 CHARLES SCHWAB & CO., INC. (CRD#:5393) Indianapolis, IN
IA
 01/26/2022 - 06/17/2022 CETERA ADVISORS LLC (CRD#:10299) CARMEL, IN
B
 09/21/2021 - 06/17/2022 CETERA ADVISORS LLC (CRD#:10299) CARMEL, IN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.