Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roy? Claim Your ProfileRoy Esh is an investment advisor representative with Northwestern Mutual Investment Services, LLC. Roy has been in the industry since 2008 and is registered with the state of Florida and several other states. Roy holds the Series 66, Series 7, Series 31 and SIE licenses. Roy is a dedicated financial professional committed to providing personalized financial solutions for clients.
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.
Investment research; referrals to other advisers
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.
Referral fees
1
2
FL
06/28/2010 - Present
Northwestern Mutual Investment Services, LLC (AVENTURA FL)
FL
06/01/2009 - 04/30/2010
MORGAN STANLEY SMITH BARNEY (FT. LAUDERDALE FL)
FL
10/06/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (FT. LAUDERDALE FL)
BOTH
Issued 11/14/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/26/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 10/03/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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