Gary Dean 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
CA	RA	APPROVED	2009-03-17
TX	RA	APPROVED	2009-03-13

CA RA
APPROVED

Since 2009-03-17
TX RA
APPROVED

Since 2009-03-13

Branch Locations

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

Dana Point, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc	Riverside	CA	03/2009	Present

03/2009 → Present

Ubs Financial Services Inc

Riverside, CA

Previous Registrations

1997-07-08 → 2009-03-16

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Riverside, CA

Riverside, CA

Other Businesses

THE COMMUNITY FOUNDATION / 3700 SIXTH ST SUITE 200 RIVERSIDE,CALIFORNIA 92501 / OTHER/ CHARITIES, CULTURAL, EDUCATIONAL & POLITICAL ORGANISATIONS / HELP OTHER CHARITIES IN THE AREA WITH FUNDING FOR VARIOUS PROJECTS / ADVISOR OR MEMBER OF AN ADVISORY COMMITTEE, IF THE ADVICE GIVEN WILL OR MAY INFLUENCE THE BOARD OR OTHER SENIOR MANAGEMENT OR SUPERVISORY BOARD OF THE ORGANIZATION IN QUESTION / / MEMBER OF INVESTMENT COMMITTEE / START DATE 08/11/2008 / COUPLE OF HOURS EVERY QUARTER AT MOST Gary Roth Trustee William Eagleton Trust / trustee-execute terms of trust / 1632 Kingsport Dr. / Riverside / California / United States / 92506 execute terms of trust / No Active / USD / 30000 / Making telephone calls to handle estate-ongoing and averaging 4 hours a week during hours

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-10-27
S63	Uniform Securities Agent State Law Examination	1982-10-20

S65 Uniform Investment Adviser Law Examination

1994-10-27
S63 Uniform Securities Agent State Law Examination

1982-10-20

View on SEC IAPD