Paul E. Roth
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Paul Evan Roth, who also goes by Paul Roth, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2002. Paul had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2022 - November 19, 2024
NUVEEN SECURITIES, LLC
April 28, 2022 - June 2, 2022
CITIGROUP GLOBAL MARKETS INC.
January 22, 2020 - January 13, 2021
AIG GLOBAL CAPITAL MARKETS SECURITIES, LLC
January 20, 2010 - May 21, 2018
CREDIT SUISSE SECURITIES (USA) LLC
March 27, 2008 - February 5, 2009
MORGAN STANLEY & CO. LLC
June 28, 2005 - April 25, 2007
GOLDMAN SACHS & CO. LLC
November 11, 2003 - May 16, 2005
TOWER SQUARE SECURITIES, INC.
August 1, 2003 - September 3, 2003
WALNUT STREET SECURITIES, INC.
March 25, 2002 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
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