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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Roth is a financial advisor with Morgan Stanley and has been in the industry for over 20 years. Christopher has a strong track record of providing personalized financial advice to individuals, families, and businesses. Christopher specializes in a variety of financial planning services including asset allocation, portfolio management, and retirement planning. Christopher is committed to providing his clients with the highest level of service and expertise. He holds multiple licenses and certifications including Series 66, Series 10, Series 9, and Series 7, as well as registrations in numerous states. Christopher has a long history of working with UBS Financial Services Inc. and has experience across a variety of client types.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
04/23/2020 - Present
Morgan Stanley (Menlo Park CA)
CA
06/07/2001 - 09/15/2017
UBS FINANCIAL SERVICES INC. (SAN FRANCISCO CA)
BOTH
Issued 06/29/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/01/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/24/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/06/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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