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Gerald Charles Roth
Jerry Roth
CRD#: 842763
IA
Investment Adviser
B
Broker
WESTERN INTERNATIONAL SECURITIESCRD#: 39262 2555 Townsgate Rd.
Ste. 300
Westlake Village, CA 91361
Registration History
19801985199019952000200520102015202020252 FIRMS2008 - 2018 (9 years)2 FIRMS2018 - Present (6 years)BWAMU INVESTMENTS, INC. (CRD# 599)1999 - 2008 (9 years)BGRIFFIN FINANCIAL SERVICES (CRD# 10823)1998 - 1999 (<1 year)BWELLS FARGO SECURITIES INC. (CRD# 17438)1994 - 1998 (4 years)BNEW ENGLAND SECURITIES (CRD# 615)1990 - 1994 (3 years)BNEW ENGLAND SECURITIES (CRD# 615)1983 - 1994 (10 years)BPML SECURITIES COMPANY (CRD# 4082)1989 - 1990 (1 year)BNEW ENGLAND SECURITIES CORPORATION (CRD# 615)1983 - 1989 (5 years)BPHOENIX EQUITY PLANNING CORPOR... (CRD# 3036)1977 - 1983 (5 years)IAWAMU INVESTMENTS, INC. (CRD# 599)2006 - 2008 (2 years)
Disclosure(s)
View By:
9/20/2010
Customer Dispute
Denied
2/25/2009
Customer Dispute
Settled
9/8/2008
Customer Dispute
Denied
8/9/2006
Customer Dispute
Denied
6/13/2006
Customer Dispute
Denied
6/15/2005
Customer Dispute
Denied
8/8/2003
Customer Dispute
Denied
9/25/1998
Customer Dispute
Settled
7/9/1998
Customer Dispute
Settled
License(s)

State Registrations

B
California 4/6/2018

IA
Oregon 3/21/2019

IA
California 4/9/2018

B
Texas 9/15/2023

B
Florida 4/6/2018

IA
Texas 9/15/2023

IA
Florida 4/9/2018

B
Virginia 4/6/2018

IA
Illinois 5/1/2018

IA
Virginia 4/9/2018

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WESTERN INTERNATIONAL SECURITIES (CRD#:39262)
2555 Townsgate Rd. Ste. 300, Westlake Village, CA 91361
9221 Corbin Ave. Ste. 120, Northridge, CA 91324
Registered with this firm since 4/9/2018

B
WESTERN INTERNATIONAL SECURITIES, INC. (CRD#:39262)
2555 Townsgate Rd. Ste. 300, Westlake Village, CA 91361
9221 Corbin Ave. Ste. 120, Northridge, CA 91324
Registered with this firm since 4/6/2018

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/05/2008 - 05/02/2018 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WOODLAND HILLS, CA
B
08/01/2008 - 05/02/2018 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WOODLAND HILLS, CA
IA
02/09/2006 - 08/06/2008 WAMU INVESTMENTS, INC. (CRD#:599) CANOGA PARK, CA
B
01/01/1999 - 08/06/2008 WAMU INVESTMENTS, INC. (CRD#:599) CANOGA PARK, CA
B
11/13/1998 - 01/01/1999 GRIFFIN FINANCIAL SERVICES (CRD#:10823)
B
06/30/1994 - 09/23/1998 WELLS FARGO SECURITIES INC. (CRD#:17438) SAN FRANCISCO, CA
B
08/24/1990 - 07/28/1994 NEW ENGLAND SECURITIES (CRD#:615)
B
10/20/1983 - 07/28/1994 NEW ENGLAND SECURITIES (CRD#:615) NEW YORK, NY
B
05/30/1989 - 10/12/1990 PML SECURITIES COMPANY (CRD#:4082) NEWARK, DE
B
08/29/1983 - 05/31/1989 NEW ENGLAND SECURITIES CORPORATION (CRD#:615)
B
09/14/1977 - 07/27/1983 PHOENIX EQUITY PLANNING CORPORATION (CRD#:3036)
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B
Broker
IA
Investment Adviser
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.