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Roy E Walling

National Financial Services LLC

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About Roy E Walling

Roy Walling is a financial professional with over 20 years of experience in the securities industry. Roy currently works at National Financial Services LLC and is registered with FINRA and the SEC. Prior to this, Roy has held positions with State Street Global Markets, LLC, State Street Global Advisors Funds Distributors, LLC, and Fidelity Brokerage Services LLC. Roy has obtained the Series 7, Series 24, Series 57TO, Series 99TO, and SIE licenses. Roy is also a licensed securities agent in the state of Massachusetts.

Firm Information

Roy Walling is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

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.

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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Roy Walling’s Registration & Firm History

MA

08/04/2022 - Present

National Financial Services LLC (BOSTON MA)

MA

05/01/2017 - 05/31/2022

STATE STREET GLOBAL MARKETS, LLC (BOSTON MA)

MA

02/02/2017 - 05/01/2017

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC (BOSTON MA)

MA

06/15/2009 - 01/12/2017

FIDELITY BROKERAGE SERVICES LLC (BOSTON MA)

MA

07/19/2000 - 01/12/2017

NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)

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Licenses & Designations

BC

Issued 11/29/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/29/2009

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 04/19/2019

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/18/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Roy E Walling.
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