Jim Roth

Managing Director

I focus on helping Investment Firms, Broker-Dealers, Registered Investment Advisors and Hedge Funds strengthen their business and deliver more value to their clients.  I do this by cultivating relationships, sharing my expertise and listening intently, because before problems can be solved they must first be understood.

Jim Roth is a highly-regarded financial services executive with over 35 years of experience in sales, operations, and correspondent-related services. A former financial advisor, Jim knows the obstacles his clients face, and provides customized solutions to help institutions, broker-dealers and advisors expand services, manage complex data and mitigate regulatory risks. He recently led Pershing’s Relationship Management of BNY Mellon’s largest, most strategic clients worldwide. He was also responsible for assisting Pershing’s clients in attracting advisors and advisors in transition. With a comprehensive view and deep understanding of the trends and direction of the financial services landscape, he develops targeted strategies to grow business, assets and revenues.

Expertise

  • Develops trusted relationships with multi-channel distribution, senior management and Board of Directors
  • Provides customized solutions to help institutions, broker-dealers and advisors expand services, manage complex data and mitigate regulatory risks
  • Established record for driving improved performance, attracting talent, and building collaborative teams
  • Led Pershing’s RIA initiative aligning both the traditional broker-dealer community with the ever-growing Registered Investment Advisor space
  • Initiates valuable partnerships and relationships, guide strategic direction, and anticipate new challenges and business opportunities

Career Highlights

  • Managing Director, BNY Mellon / Pershing LLC
  • Senior Vice President & Branch Manager, LaSalle Street Securities
  • Manager of the Bank Division, Wintrust Wealth Management (formerly Wayne Hummer & Company)

Publications

  • Using the 3 C-Drivers to Compete and Remain Relevant : A conversation with Lynch, Heckenberg, Moysak, Roth and Stern. Executive Roundtable Journal, 2nd Quarter, 2019
  • Dominance of the Digitized Ecosystem. Wealthtech Trends 2020: The Future Starts Now