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Nicholas A Roth

Morgan Stanley

Alpharetta, GA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-09-13
GA RA APPROVED 2023-09-05
  • TX RA
    APPROVED_RES
    Since 2023-09-13
  • GA RA
    APPROVED
    Since 2023-09-05

Branch Locations

3 Edison Drive, Alpharetta, GA 30005 • 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
OrganizationCityStateFromTo
University Of North Georgia Dahlonega GA 08/2013 12/2017
Unemployed Gainesville GA 01/2018 03/2018
E*Trade Capital Management Llc Alpharetta GA 11/2019 10/2021
E*Trade Securities Llc Alpharetta GA 04/2018 10/2021
Supermetrics Inc Atlanta GA 11/2021 02/2023
Unemployed Atlanta GA 03/2023 05/2023
Morgan Stanley Smith Barney Llc Alpharetta GA 09/2023 Present
E*Trade Securities Llc Alpharetta GA 06/2023 09/2023
  • 08/2013 → 12/2017
    University Of North Georgia
    Dahlonega, GA
  • 01/2018 → 03/2018
    Unemployed
    Gainesville, GA
  • 11/2019 → 10/2021
    E*Trade Capital Management Llc
    Alpharetta, GA
  • 04/2018 → 10/2021
    E*Trade Securities Llc
    Alpharetta, GA
  • 11/2021 → 02/2023
    Supermetrics Inc
    Atlanta, GA
  • 03/2023 → 05/2023
    Unemployed
    Atlanta, GA
  • 09/2023 → Present
    Morgan Stanley Smith Barney Llc
    Alpharetta, GA
  • 06/2023 → 09/2023
    E*Trade Securities Llc
    Alpharetta, GA
Previous Registrations
  • 2023-07-14 → 2023-09-05
    Harrisdirect Llc
    Arlington, VA
    Alpharetta, GA
  • 2019-12-18 → 2021-10-27
    Harrisdirect Llc
    Alpharetta, GA
    Arlington, VA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-12-06
S63 Uniform Securities Agent State Law Examination 2018-06-18
  • S66 Uniform Combined State Law Examination
    2019-12-06
  • S63 Uniform Securities Agent State Law Examination
    2018-06-18
Other Names
  • Nicholas Allen Roth

View on SEC IAPD

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Other Offices

MRP CAPITAL INVESTMENTS, LLC · ALPHARETTA, GA
NEW EDGE WEALTH · Alpharetta, GA
COMMONWEALTH FINANCIAL NETWORK · Alpharetta, GA
SEQUENT PLANNING, LLC · ALPHARETTA, GA
BROOKSTONE WEALTH ADVISORS, LLC · Alphretta, GA
SEQUENT PLANNING, LLC · ALPHARETTA, GA
LADENBURG THALMANN ASSET MANAGEMENT INC · Norcross, GA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · ALPHARETTA, GA

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