Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Randy? Claim Your ProfileRandy Dale Roe is a financial advisor with over 27 years of experience in the financial services industry. Randy currently works at THE Ayco Company, LP and is registered with the state of Texas as an Investment Advisor Representative. Randy was previously employed by Mercer Allied Company, L.P., Charles Schwab & Co., Inc., Fidelity Brokerage Services, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Dickinson & Co.. Randy holds the Series 3, Series 7, Series 9, Series 10, Series 24, and Series 63 licenses, as well as the SIE and Series 65 licenses.
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.
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.
1
2
TX
11/03/2000 - Present
THE Ayco Company, LP (Dallas TX)
TX
01/01/1999 - 01/04/2021
MERCER ALLIED COMPANY, L.P. (DALLAS TX)
TX
01/09/1997 - 12/11/1998
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
RI
01/22/1996 - 06/28/1996
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
NY
06/01/1995 - 01/16/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
RI
02/01/1994 - 05/02/1995
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
IA
10/06/1993 - 12/02/1993
DICKINSON & CO. (DES MOINES IA)
IA
Issued 06/21/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/07/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/09/2007
Series 24 - General Securities Principal Examination
BC
Issued 08/19/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 12/17/2020
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/05/1993
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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