Russell Louis Roth

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2013-02-11
FL	RA	APPROVED	2009-05-28

TX RA
APPROVED_RES

Since 2013-02-11
FL RA
APPROVED

Since 2009-05-28

Branch Locations

801 Laurel Oak Drive Suite 201, Naples, FL 34108 • United States

Naples, FL • 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.	Naples	FL	05/2009	Present

05/2009 → Present

Ubs Financial Services Inc.

Naples, FL

Previous Registrations

1994-01-15 → 2009-05-28

Citigroup Global Markets Inc.

Naples, FL

Naples, FL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2004-05-04
S63	Uniform Securities Agent State Law Examination	1984-10-09

S65 Uniform Investment Adviser Law Examination

2004-05-04
S63 Uniform Securities Agent State Law Examination

1984-10-09

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

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