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Detailed Report
CHRISTOPHER THOMAS ROTH
CRD#: 4382114
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 2725 Sand Hill Road
PWM
Menlo Park, CA 94025
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2001 - 2017 (16 years)2 FIRMS2017 - Present (7 years)
Disclosure(s)
View By:
1/14/2010
Customer Dispute
Withdrawn
License(s)

State Registrations

B
Arizona 8/29/2017
B
New Hampshire 4/7/2023
B
California 8/24/2017
B
New Jersey 8/29/2017
IA
California 8/24/2017
B
New Mexico 8/27/2024
B
Colorado 8/29/2017
B
New York 8/29/2017
B
Connecticut 8/29/2017
B
North Carolina 8/29/2017
B
Delaware 8/29/2017
B
Oklahoma 8/27/2024
B
Florida 8/29/2017
B
Oregon 8/29/2017
B
Georgia 2/2/2024
B
South Carolina 8/27/2024
B
Hawaii 8/29/2017
B
Tennessee 8/27/2024
B
Idaho 8/29/2017
B
Texas 8/29/2017
B
Illinois 8/29/2017
IA
Texas 4/23/2020
B
Maryland 8/29/2017
B
Utah 8/29/2017
B
Massachusetts 8/29/2017
B
Vermont 3/10/2021
B
Michigan 8/29/2017
B
Virginia 8/27/2024
B
Minnesota 12/17/2024
B
Washington 9/26/2017
B
Missouri 8/29/2017
B
Wisconsin 7/28/2023
B
Nevada 8/29/2017

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
2725 Sand Hill Road PWM, Menlo Park, CA 94025
Registered with this firm since 8/24/2017
B
MORGAN STANLEY (CRD#:149777)
2725 Sand Hill Road PWM, Menlo Park, CA 94025
Registered with this firm since 8/24/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/22/2001 - 09/15/2017 UBS FINANCIAL SERVICES INC. (CRD#:8174) SAN FRANCISCO, CA
B
 06/07/2001 - 09/15/2017 UBS FINANCIAL SERVICES INC. (CRD#:8174) SAN FRANCISCO, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.