Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Larry? Claim Your ProfileLarry Roth is a financial advisor with Wells Fargo Clearing Services, LLC. Larry has been in the financial industry since June 2001. Larry has a wide range of experience in the industry, having previously worked at MORGAN STANLEY, BARCLAYS CAPITAL INC., VISION INVESTMENT SERVICES, INC., NORTHERN TRUST SECURITIES, INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, and UBS FINANCIAL SERVICES INC.. Larry holds the Series 7, Series 31 and Series 66 securities licenses.
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.
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.
Investment consulting services to institutional clients
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.
1
2
CA
04/12/2024 - Present
Wells Fargo Clearing Services, LLC (BEVERLY HILLS CA)
CA
09/19/2014 - 04/16/2024
MORGAN STANLEY (Los Angeles CA)
CA
01/04/2011 - 10/02/2014
BARCLAYS CAPITAL INC. (LOS ANGELES CA)
CA
11/16/2007 - 01/20/2011
VISION INVESTMENT SERVICES, INC. (LOS ANGELES CA)
CA
05/11/2006 - 01/03/2011
NORTHERN TRUST SECURITIES, INC. (LOS ANGELES CA)
CA
06/09/2003 - 02/22/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BEVERLY HILLS CA)
NJ
03/19/2001 - 06/27/2003
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
BOTH
Issued 06/10/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/14/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 03/16/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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