GR
CFP
GR
CFP
Gregory Roth
38 Years of Experience
Fort Lauderdale, FL
4 DisclosuresBroker
Gregory Roth is a CFP-designated registered investment advisor at Morgan Stanley, based in Fort Lauderdale, FL, with 38 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
350 East Las Olas Boulevard, Suite 1500, Fort Lauderdale, FL, 33301
Get directionsHistory
Regulatory History (4)
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Customer Dispute
October 2018Denied
Customer Dispute
February 2013Settled
Customer Dispute
November 2008Denied
Customer Dispute
March 2003Denied
Other Business Activities
Gregory serves as a trustee or co-trustee for a trust since 2021. This investment-related activity requires minimal time outside of business hours.
Employment History
Current Registrations
Morgan StanleyBroker
March 2022 - Present · 4 yrs 2 mos
Morgan Stanley
March 2022 - Present · 4 yrs 2 mos
Previous Registrations
UBS Financial Services INC.
January 2014 - March 2022 · 8 yrs 2 mos
UBS Financial Services INC.Broker
January 2014 - March 2022 · 8 yrs 2 mos
Morgan Stanley
June 2009 - January 2014 · 4 yrs 7 mos
Morgan StanleyBroker
June 2009 - January 2014 · 4 yrs 7 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
March 2007 - April 2007 · 1 mo
Morgan Stanley Dw INC.Broker
March 2007 - April 2007 · 1 mo
Citigroup Global Markets INC.
March 1994 - March 2007 · 13 yrs
Citigroup Global Markets INC.Broker
March 1994 - March 2007 · 13 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
December 1991 - March 1994 · 2 yrs 3 mos
Prudential Securities IncorporatedBroker
September 1989 - December 1991 · 2 yrs 3 mos
Thomson Mckinnon Securities INC.Broker
October 1988 - September 1989 · 11 mos
Shearson Lehman Hutton INC.Broker
May 1988 - October 1988 · 5 mos
Thomson Mckinnon Securities INC.Broker
July 1987 - September 1989 · 2 yrs 2 mos
The Stuart-James Company, INC.Broker
May 1987 - June 1987 · 1 mo
State Registrations44 states
ALARAZCACOCTDCDEFLGAIAILINKSLAMAMDMEMIMNMONCNENHNJNMNVNYOHOKORPAPRSCTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.