Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Vincent Roy is a financial advisor with over 20 years of experience in the financial services industry. David Roy has been registered with Wells Fargo Clearing Services, LLC since August 2022. Prior to that, David Roy was a registered representative with UBS Financial Services Inc., Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., CUNA Brokerage Services, Inc., Banc of America Investment Services, Inc., Allmerica Investments, Inc. and Dean Witter Reynolds Inc.. David Roy holds Series 63, 65, 66, 7, 9, 10, 31 and SIE licenses. David Roy has earned a number of designations, including . David Roy provides investment consulting services to institutional clients, financial planning, pension consulting, selection of other advisors and portfolio management for businesses and individuals. David Roy is registered with the following states: Arizona, Arkansas, California, Colorado, Delaware, District of Columbia, Florida, Illinois, Maryland, Massachusetts, Michigan, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, South Dakota, Texas, Utah, Virginia and Wyoming.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
VA
08/22/2022 - Present
Wells Fargo Clearing Services, LLC (MCLEAN VA)
VA
08/05/2011 - 08/18/2022
UBS FINANCIAL SERVICES INC. (McLean VA)
DC
06/01/2009 - 08/15/2011
MORGAN STANLEY SMITH BARNEY (WASHINGTON DC)
DC
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (WASHINGTON DC)
DC
03/15/2006 - 04/02/2007
MORGAN STANLEY DW INC. (WASHINGTON DC)
IA
10/25/2004 - 01/25/2006
CUNA BROKERAGE SERVICES, INC. (WAVERLY IA)
MA
03/15/2004 - 09/20/2004
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
MA
10/25/2001 - 10/14/2002
ALLMERICA INVESTMENTS, INC. (WORCESTER MA)
NY
12/24/1997 - 03/27/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BOTH
Issued 03/26/2004
Series 66 - Uniform Combined State Law Examination
IA
Issued 01/23/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/06/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/28/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/03/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/26/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 12/23/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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