Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Derek? Claim Your ProfileDerek Anthony Roy is a financial advisor registered with Osaic Wealth, Inc., an investment firm. Derek has over 20 years of experience in the financial services industry. Derek has a wide range of experience, having worked with several firms, including Sagepoint Financial, Inc., The Leaders Group, Inc., LPL Financial LLC, and Pacific Select Distributors, LLC. Derek has a Series 7, Series 24, Series 63 and Series 65 licenses and specializes in providing financial planning, portfolio management for individuals and businesses, and pension consulting services.
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.
A percentage of the total value of assets under management is charged.
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2
FL
09/01/2023 - Present
Osaic Wealth, Inc. (BOCA RATON FL)
FL
01/15/2020 - 09/01/2023
SAGEPOINT FINANCIAL, INC. (BOCA RATON FL)
CO
04/12/2019 - 10/04/2019
THE LEADERS GROUP, INC. (LITTLETON CO)
FL
11/23/2016 - 09/24/2018
LPL FINANCIAL LLC (LAKE MARY FL)
CA
10/11/2012 - 11/21/2016
PACIFIC SELECT DISTRIBUTORS, LLC (NEWPORT BEACH CA)
NY
02/22/2008 - 10/03/2012
RIM SECURITIES LLC (NEW YORK NY)
TN
11/27/2006 - 02/15/2008
JACKSON NATIONAL LIFE DISTRIBUTORS LLC (FRANKLIN TN)
FL
10/01/2004 - 11/13/2006
CS CAPITAL STRATEGIES FINANCIAL GROUP, INC. (ORLANDO FL)
FL
04/17/2003 - 10/12/2004
INTERSECURITIES, INC. (ST. PETERSBURG FL)
NY
08/23/2001 - 04/03/2002
KAUFMAN BROS., L.P. (NEW YORK NY)
MO
01/12/1999 - 09/28/2001
EDWARD JONES (ST. LOUIS MO)
IA
Issued 01/11/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/13/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/23/2020
Series 24 - General Securities Principal Examination
BC
Issued 09/24/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/11/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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