Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roy? Claim Your ProfileRoy Allain St paul is a financial advisor at Wells Fargo Advisors Financial Network, LLC. Roy has been in the financial services industry since 1989. Roy has been with Wells Fargo Advisors Financial Network, LLC since 2020. Roy has passed the Series 7, Series 9, Series 10, and Series 63 exams. Roy has also been registered with the following states: Alabama, California, Florida, Georgia, Louisiana, Mississippi, Missouri, Nevada, Oregon, Texas, and Washington. Roy provides investment consulting services to institutional clients, financial planning, pension consulting, selection of other advisers, and portfolio management for businesses and individuals. Roy is also a 33% owner of ST PAUL FAMILY LLC, which is an investment-related company. Roy is based in Mandeville, Louisiana.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
LA
10/16/2020 - Present
Wells Fargo Advisors Financial Network, LLC (MANDEVILLE LA)
LA
01/01/2008 - 10/16/2020
WELLS FARGO CLEARING SERVICES, LLC (MANDEVILLE LA)
LA
02/10/1999 - 01/03/2008
A. G. EDWARDS & SONS, INC. (MANDEVILLE LA)
NY
05/23/1989 - 03/05/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 05/31/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/29/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/30/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/20/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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