Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roy? Claim Your ProfileRoy Cook is a financial advisor with over 17 years of experience in the financial services industry. Roy is currently registered with LPL Financial LLC and has previously been registered with CETERA FINANCIAL SPECIALISTS LLC, RAYMOND JAMES FINANCIAL SERVICES, INC., WOLF FINANCIAL MANAGEMENT, LLC and BAKER TILLY CAPITAL, LLC. Roy has a wide range of experience in financial planning, investment management, and other advisory services.
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
IL
10/02/2023 - Present
LPL Financial LLC (WARRENVILLE IL)
IL
05/18/2018 - 09/29/2023
CETERA FINANCIAL SPECIALISTS LLC (WARRENVILLE IL)
IL
03/28/2015 - 05/18/2018
RAYMOND JAMES FINANCIAL SERVICES, INC. (OAKBROOK TERRACE IL)
IL
07/20/2010 - 05/30/2014
WOLF FINANCIAL MANAGEMENT, LLC (OAKBROOK TERRACE IL)
IL
05/24/2006 - 09/24/2009
BAKER TILLY CAPITAL, LLC (CHICAGO IL)
BOTH
Issued 02/06/2006
Series 66 - Uniform Combined State Law Examination
IA
Issued 09/17/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/23/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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