Gerald Roth
Gerald Roth is a registered investment advisor at LPL Financial LLC, based in Westlake Village, CA, with 48 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
2555 Townsgate Rd Ste 300, Ste. 300, Westlake Village, CA, 91361
Get directionsHistory
Regulatory History (9)
Customer Dispute
September 2010Customer Dispute
February 2009Customer Dispute
September 2008Customer Dispute
August 2006Customer Dispute
June 2006Customer Dispute
June 2005Customer Dispute
August 2003Customer Dispute
September 1998Customer Dispute
July 1998Other Business ActivitiesSells Insurance
Gerald is an agent selling accident & health, life, and variable insurance. He also owns multiple LLCs (Sussman Properties, Kenmore LLC, DEB LLC, LHPB, and New Country Club LLC) as part of family real estate investments, dedicating minimal time as a silent partner.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Western International Securities
Western International Securities, INC.Broker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Wamu Investments, INC.
Wamu Investments, INC.Broker
Griffin Financial ServicesBroker
Wells Fargo Securities INC.Broker
New England SecuritiesBroker
Pml Securities CompanyBroker
New England SecuritiesBroker
New England Securities CorporationBroker
Phoenix Equity Planning CorporationBroker
State Registrations8 states
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.