Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lyon? Claim Your ProfileLyon Lenny Roth is an investment advisor representative with UBS Financial Services Inc. Lyon has been in the financial industry since 2001. Lyon has experience with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Sanford C. Bernstein & Co., LLC, and CSFP Capital, Inc. Lyon is licensed to provide investment advice in Florida, Texas, Illinois, New York, Arizona, and Puerto Rico. Lyon is a registered representative of UBS Financial Services Inc.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
FL
11/26/2008 - Present
UBS Financial Services Inc. (Hallandale Beach FL)
FL
04/08/2005 - 12/02/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (AVENTURA FL)
NY
10/15/2002 - 04/27/2005
SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)
NY
04/07/1994 - 03/15/1995
CSFP CAPITAL, INC. (NEW YORK NY)
IA
Issued 09/28/2005
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 10/28/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/03/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 10/14/2002
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Lyon Roth is the right advisor for you? Invested Better is here to help.
