Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Royce is a financial professional with over 20 years of experience in the industry. Douglas is currently registered with Summit Financial, LLC, a Registered Investment Advisor with offices in Parsippany, New Jersey. Douglas's previous employers include Pruco Securities, LLC., Farmers Financial Solutions, LLC, Northwestern Mutual Investment Services, LLC and M.S. Farrell & Company, Inc. Douglas is licensed to provide financial and investment advice to individuals, businesses, and institutions.
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.
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
NY
07/12/2023 - Present
Summit Financial, LLC (NEW ROCHELLE NY)
NY
09/10/2019 - 02/07/2023
PRUCO SECURITIES, LLC. (White Plains NY)
NY
03/09/2017 - 09/11/2019
FARMERS FINANCIAL SOLUTIONS, LLC (IRVINGTON NY)
CT
02/15/2013 - 01/29/2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (STAMFORD CT)
NY
06/30/1998 - 10/26/1998
M.S. FARRELL & COMPANY, INC. (SYOSSET NY)
NY
07/10/1997 - 12/01/1997
DUKE & CO., INC. (NEW YORK NY)
NY
09/29/1993 - 09/23/1996
FIRST ALBANY CORPORATION (NEW YORK NY)
FL
11/04/1992 - 09/21/1993
CARNES CAPITAL CORPORATION (NAPLES FL)
NA
12/24/1990 - 12/02/1991
VANTAGE SECURITIES, INC.
NY
06/10/1991 - 11/12/1991
ALBERT FRIED & COMPANY, LLC (NEW YORK NY)
NY
09/20/1989 - 11/15/1990
ROSENKRANTZ LYON & ROSS INCORPORATED (NEW YORK NY)
NY
11/28/1988 - 01/03/1989
ADLER, COLEMAN & CO.,INC. (NEW YORK NY)
NA
02/17/1988 - 12/09/1988
BRODER & COMPANY INCORPORATED
NA
10/25/1984 - 01/19/1988
PHILIPS, APPEL & WALDEN, INC.
IA
Issued 05/11/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/28/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/13/2013
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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