Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roy? Claim Your ProfileRoy Hamish Lochtenberg is a financial advisor with RBC Capital Markets, LLC, a firm with over $50 billion in assets under management. Roy has been in the industry since 2018 and has a Series 7, SIE and Series 66 license. Roy has experience working with a variety of clients, including high-net-worth individuals, corporations, and institutions. Roy offers a range of services, including financial planning, portfolio management, and pension consulting. Roy has been registered with FINRA since 2018 and has also been active in the investment advisor field. Roy has worked for several leading financial institutions such as UBS Financial Services Inc., TCW Funds Distributors LLC, and J.P. Morgan Securities LLC in the past.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
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2
CA
02/15/2024 - Present
RBC Capital Markets, LLC (BEVERLY HILLS CA)
CA
02/17/2023 - 02/08/2024
J.P. MORGAN SECURITIES LLC (LOS ANGELES CA)
CA
03/16/2022 - 01/31/2023
TCW FUNDS DISTRIBUTORS LLC (LOS ANGELES CA)
CA
09/14/2018 - 09/03/2021
UBS FINANCIAL SERVICES INC. (LOS ANGELES CA)
BOTH
Issued 10/23/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/14/2018
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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