Vincent John Roth

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2012 → 05/2021
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 12/2012 → 05/2021
  Bank Of America, N.A.
  New York, NY
• 05/2021 → Present
  Wells Fargo Clearing Services, Llc.
  New York, NY

Previous Registrations

• 2012-11-09 → 2021-05-28
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  East Rockaway, NY
  New York, NY
• 2009-06-01 → 2012-11-19
  Morgan Stanley
  New York, NY
• 2007-10-18 → 2009-06-01
  Citigroup Global Markets Inc.
  New York, NY
• 2004-05-03 → 2007-10-23
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Garden City, NY
  Garden City, NY

Other Businesses

FINAL FURLONG RACING STABLES, LLC, NOT INVT RELATED, NEW HYDE PARK, NY, 50% OWNERSHIP, START DATE 2/10/2011, 20 HRS PER MONTH, 0 HRS DURING TRADING, MANAGE, PURCHASE AND RACE HORSES. WELLFLEET CAPITAL PARTNERS, LLC, INVT RELATED, EAST ROCKAWAY , NY, 50% OWNERSHIP, START DATE 8/1/2013, 4 HRS PER MONTH, 0 HRS DURING TRADING, MANAGING PARTNER. AXE ALLEY, LLC, INVT RELATED, EAST ROCKAWAY, NY, 40% OWNERSHIP, START DATE 10/15/2020, 4 HRS PER MONTH, 0 HRS DURING TRADING, MANAGE SINGLE FAMILY RENTAL PROPERTY. MIDDLE JAY RACING STABLES, LLC, NOT INVT RELATED, NEW HYDE PARK, NY, 50% OWNERSHIP, START DATE 9/15/2013, 20 HRS PER MONTH, 0 HRS DURING TRADING, MANAGE HORSE STABLE. AXELKEY HOLDINGS, LLC, INVT RELATED, NORTH WALES, PA, 50% OWNERSHIP WITH SPOUSE, START DATE 8/13/2015, 0 HRS PER MONTH, 0 HRS DURING TRADING, LLC FOR REAL ESTATE. RENTAL PROPERTY, INV RELATED, EAST ROCKAWAY, NY, 100% OWNERSHIP, START 10/15/2013, 2 HOURS PER MONTH, ZERO DURING TRADING. BOXIZ, NOT INVT RELATED, NEW YORK, NY, CONSULTANT, START DATE 8/19/2021, 10 HRS PER MONTH, 0 HRS DURING TRADING, CONSULTANT ON MOBILE APPLICATION. RIVERVIEW SPORTS, LLC, NOT INVT RELATED, EAST ROCKAWAY, NY, 25% OWNERSHIP, START DATE 10/31/2024, 8 HRS PER MONTH, 0 HRS DURING TRADING, LLC SENT TO RENT FIELD SPACE FOR YOUTH SPORTS.

Exams

• S66 Uniform Combined State Law Examination
  2002-12-03