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Max Mathew Roy

Charles Schwab & CO., Inc.

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About Max Mathew Roy

Max Mathew Roy is a registered representative of Charles Schwab & CO., Inc. Max Mathew Roy is also an investment advisor representative for Charles Schwab & CO., Inc.. Max Mathew Roy is licensed to conduct business in New Jersey. Max Mathew Roy has been in the securities industry since 2022. Prior to joining Charles Schwab & CO., Inc., Max Mathew Roy worked at UBS Financial Services Inc.. Max Mathew Roy holds the Series 66, Series 7TO and SIE licenses. Max Mathew Roy provides services for a range of clients, including individuals and corporations. Max Mathew Roy's experience includes working as an investment advisor representative, financial planner, and investment advisor.

Firm Information

Max Roy is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

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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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Max Roy’s Registration & Firm History

NJ

08/09/2023 - Present

Charles Schwab & CO., Inc. (Elmwood Park NJ)

NJ

05/21/2022 - 03/17/2023

UBS FINANCIAL SERVICES INC. (Warren NJ)

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Licenses & Designations

BOTH

Issued 07/02/2022

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/21/2022

Series 7TO - General Securities Representative Examination

BC

Issued 11/08/2021

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Max Mathew Roy.
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