Alexander Gary Roth

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

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

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2025-08-25
CA	RA	APPROVED	2016-08-13

TX RA
APPROVED_RES

Since 2025-08-25
CA RA
APPROVED

Since 2016-08-13

Branch Locations

200 Spectrum Center Drive Suite 1800, Irvine, CA 92618 • United States

Dana Point, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Free Foundations	Santa Ana	CA	05/2007	Present
Ubs Financial Services Inc	Riverside	CA	09/2015	Present

05/2007 → Present

Free Foundations

Santa Ana, CA
09/2015 → Present

Ubs Financial Services Inc

Riverside, CA

Other Businesses

I am involved in running a small music recording/videography and promotional facility called Free Foundations. It is not investment related. 117 W. 4th St. Santa Ana CA 92629 I am Sole Proprietor. Free Foundations began in 2007. Currently I devote about 20 hours a month to this business all during non securities trading hours. Recording engineer, videographer, promotions, marketing.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-08-12

S66 Uniform Combined State Law Examination

2016-08-12

View on SEC IAPD