Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gerald? Claim Your ProfileGerald Roth is a financial advisor with Western International Securities, Inc. Gerald has been working in the financial industry since 1977 and holds Series 63, Series 65, Series 7, and Series 1 licenses. Gerald specializes in financial planning, pension consulting, and portfolio management for individuals and businesses. He is registered as a broker-dealer in California, Florida, Virginia and Texas, as well as an investment advisor in California, Florida, Illinois, Oregon, Virginia and Texas. Gerald has experience working with high-net-worth individuals, charitable organizations, pension and profit sharing plans, and corporations or other businesses.
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.
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.
A percentage of the total value of assets under management is charged.
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2
CA
04/09/2018 - Present
Western International Securities, Inc. (Westlake Village CA)
CA
08/01/2008 - 05/02/2018
CITIGROUP GLOBAL MARKETS INC. (WOODLAND HILLS CA)
CA
01/01/1999 - 08/06/2008
WAMU INVESTMENTS, INC. (CANOGA PARK CA)
NA
11/13/1998 - 01/01/1999
GRIFFIN FINANCIAL SERVICES
CA
06/30/1994 - 09/23/1998
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
NA
08/24/1990 - 07/28/1994
NEW ENGLAND SECURITIES
NY
10/20/1983 - 07/28/1994
NEW ENGLAND SECURITIES (NEW YORK NY)
DE
05/30/1989 - 10/12/1990
PML SECURITIES COMPANY (NEWARK DE)
NA
08/29/1983 - 05/31/1989
NEW ENGLAND SECURITIES CORPORATION
NA
09/14/1977 - 07/27/1983
PHOENIX EQUITY PLANNING CORPORATION
IA
Issued 02/20/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/05/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/1983
Series 7 - General Securities Representative Examination
BC
Issued 09/08/1977
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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