Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roy? Claim Your ProfileRoy Charles Woehrman is an investment advisor representative with LPL Financial LLC. Roy has been in the financial services industry since March 14, 1995. Roy is registered with FINRA and the Securities and Exchange Commission. Roy is also a registered investment advisor representative in California and Texas.
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.
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.
Consulting and other non-discretionary advisory services
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
CA
08/30/2011 - Present
LPL Financial LLC (LONG BEACH CA)
MO
11/02/1999 - 03/01/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
03/15/1995 - 11/08/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 02/03/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/20/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/30/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/10/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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