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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Denis? Claim Your ProfileDenis Roy is a financial advisor with UBS Financial Services Inc. Denis has over 30 years of experience in the financial services industry and has held positions with a number of prominent firms, including Morgan Stanley and Citigroup Global Markets Inc. Denis is a registered representative and investment advisor in multiple states.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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.
See schedule d - miscellaneous
1
2
CA
05/11/2015 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
06/01/2009 - 03/26/2015
MORGAN STANLEY (SAN FRANCISCO CA)
CA
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SAN FRANCISCO CA)
NY
11/20/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
MO
09/04/1990 - 12/03/1992
EVEREN SECURITIES, INC. (ST. LOUIS MO)
NA
01/02/1990 - 09/04/1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
CA
10/20/1982 - 01/09/1990
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
IA
Issued 05/21/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/22/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/16/1982
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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