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Kevin Thomas Roth

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY

Melville, NY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2026-08-27
CT RA APPROVED 2024-07-01
  • NY RA
    APPROVED
    Since 2026-08-27
  • CT RA
    APPROVED
    Since 2024-07-01

Branch Locations

One Bryant Park, New York, NY 10036 • United States

300 Broadhollow Rd, Melville, NY 11747 • 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
OrganizationCityStateFromTo
Hsbc Bank Usa Melville NY 09/2000 06/2019
Hsbc Securities (Usa) Inc. New York City NY 01/2005 07/2019
Ubs Financial Services Inc. New York NY 07/2019 05/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated Westport CT 05/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-10-30
S63 Uniform Securities Agent State Law Examination 1985-09-09
  • S65 Uniform Investment Adviser Law Examination
    1996-10-30
  • S63 Uniform Securities Agent State Law Examination
    1985-09-09
Other Names
  • Kevin Thomas Roth
  • Kevin Roth

View on SEC IAPD

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