Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Russell? Claim Your ProfileRussell Louis Roth is a financial advisor with over 40 years of experience in the financial services industry. Currently, Russell is an active registered representative with UBS Financial Services Inc., located in Naples, Florida. Previously, Russell has worked with other well-known firms including Citigroup Global Markets Inc., Raymond James & Associates, Inc., and A. G. Edwards & Sons, Inc. Russell holds licenses and certifications in a variety of areas including securities, investments, and options trading. Russell has a deep understanding of the financial markets and is committed to providing his clients with personalized financial advice and guidance.
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
02/11/2013 - Present
UBS Financial Services Inc. (NAPLES FL)
FL
12/21/1993 - 05/28/2009
CITIGROUP GLOBAL MARKETS INC. (NAPLES FL)
FL
06/01/1992 - 12/22/1993
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
MA
03/31/1992 - 08/12/1992
NATIONSBANC SECURITIES, INC. (BOSTON MA)
NA
06/23/1986 - 03/31/1992
NATIONSBANC SECURITIES OF GEORGIA, INC.
NA
12/02/1977 - 06/30/1986
A. G. EDWARDS & SONS, INC.
NA
05/20/1976 - 03/13/1978
WATLING, LERCHEN & CO. INCORPORATED
IA
Issued 05/04/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/09/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/08/1994
PC - AMEX Put and Call Exam
BC
Issued 04/12/1985
Series 15 - Foreign Currency Options Examination
BC
Issued 12/12/1981
Series 5 - Interest Rate Options Examination
BC
Issued 05/15/1976
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
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