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Brad H Roth

UBS Securities LLC

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About Brad H Roth

Brad Roth is a financial advisor with UBS Securities LLC, with over 20 years of experience in the industry. Brad has held previous positions at RBC Capital Markets Corporation and Carlin Equities, LLC. Brad is licensed to sell securities in all 50 states and the District of Columbia. Brad holds the Series 7, 24, 57, and 63 licenses, and the SIE exam.

Firm Information

Brad Roth is currently registered with UBS Securities LLC. UBS Securities LLC is a Limited Liability Company formed on June 29, 1998. The firm is registered with the SEC and in all 50 states, as well as in Puerto Rico. UBS Securities LLC has been involved in 307 regulatory events, 5 civil events, and 3 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

507

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Brad Roth’s Registration & Firm History

NY

11/15/2011 - Present

UBS Securities LLC (NEW YORK NY)

NY

02/29/2008 - 05/20/2010

RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)

NY

01/02/2007 - 02/29/2008

RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)

NY

11/19/1999 - 01/02/2007

CARLIN EQUITIES, LLC (NEW YORK NY)

NY

09/28/1994 - 11/20/1997

GROSSMAN & CO. (DIX HILLS NY)

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Licenses & Designations

BC

Issued 09/24/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/16/2020

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/29/2016

Series 57 - Securities Trader Exam

BC

Issued 09/27/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Brad H Roth.
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