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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)19 years in industry

JONATHON ANDREW ROTH

Advisor at PRINCIPAL SECURITIES, INC.

Roseville, CA | MODESTO, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 30, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PRINCIPAL SECURITIES, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 27, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Jul 27, 2007
First registration: Jul 30, 2007
Dual registered: yes, broker-dealer
IAPD individual key: 5326721

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Jan 2, 2014	n/a	yes	Roseville, CA\|MODESTO, CA\|Roseville, CA	Current employment
CONCOURSE FINANCIAL GROUP ADVISORS	Former SEC adviser	Oct 5, 2011	Sep 6, 2013	no	ALAMEDA, CA\|Birmingham, AL\|ROSEVILLE, CA	Previous registration
MORGAN STANLEY	Wirehouse	Jul 2, 2010	Jul 7, 2011	no	Palo Alto, CA	Previous registration
BROWNSON, REHMUS & FOXWORTH, INC.	Independent wealth	Jul 30, 2007	Dec 20, 2010	no	CHICAGO, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CONCOURSE FINANCIAL GROUP ADVISORS	PRINCIPAL SECURITIES, INC.	Sep 6, 2013	Jan 2, 2014	118	Firm change	Other
MORGAN STANLEY	CONCOURSE FINANCIAL GROUP ADVISORS	Jul 7, 2011	Oct 5, 2011	90	Firm change	Other
BROWNSON, REHMUS & FOXWORTH, INC.	MORGAN STANLEY	Dec 20, 2010	Jul 2, 2010	-171	Firm change after gap	Other

Relationships

Registered with (4)

→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: current employment
Jan 2, 2014 to presentfactForm ADV
→ CONCOURSE FINANCIAL GROUP ADVISORSRegistered adviserregistration: previous registration
Oct 5, 2011 to Sep 6, 2013factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jul 2, 2010 to Jul 7, 2011factForm ADV
→ BROWNSON, REHMUS & FOXWORTH, INC.Registered adviserregistration: previous registration
Jul 30, 2007 to Dec 20, 2010factForm ADV

Dated events

No dated event names this entity yet.