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Kimberly Y Roy

Clearbridge Investments, LLC

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About Kimberly Y Roy

Kimberly Y Roy is a registered representative with Clearbridge Investments, LLC. Kimberly has been in the industry since 1997 and is licensed to provide investment advice in Connecticut and across the United States. Kimberly has previously held roles at Putnam Retail Management Limited Partnership, Citigroup Global Markets Inc, Schroder Fund Advisors Inc and OppenheimerFunds Distributor, Inc. Kimberly specializes in portfolio management for individuals, businesses, investment companies and pooled investment vehicles.

Firm Information

Kimberly Roy is currently registered with Clearbridge Investments, LLC. Clearbridge Investments, LLC is an investment advisor headquartered in New York, NY. The firm manages approximately $180.8 billion in assets for a variety of clients, including individuals, corporations, investment companies, and pooled investment vehicles. They offer portfolio management services for individuals, businesses, investment companies, and pooled investment vehicles. They also participate in wrap fee programs.
Clearbridge Investments, LLC

620 8TH AVENUE

NEW YORK, NY 10018

$180.79B

Assets Under Management

1

Total Clients

42

Total Financial Advisors

Services Offered

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.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

Fee Structure

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.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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Kimberly Roy’s Registration & Firm History

NY

03/05/2008 - Present

Clearbridge Investments, LLC (NEW YORK NY)

CT

01/02/2024 - 07/03/2024

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (STAMFORD CT)

NY

01/20/2000 - 12/01/2005

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

05/01/1998 - 01/13/2000

SCHRODER FUND ADVISORS INC. (NEW YORK NY)

NY

03/12/1997 - 03/03/1998

OPPENHEIMERFUNDS DISTRIBUTOR, INC. (NEW YORK NY)

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Licenses & Designations

IA

Issued 12/09/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/31/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/07/1998

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/11/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Kimberly Y Roy.
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