Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roy? Claim Your ProfileRoy Herbert Browning has been an active financial professional since 1971 and is registered with Wells Fargo Clearing Services, LLC. Roy holds Series 7TO, SIE, PC and Series 1 licenses. Roy has 21 state securities licenses and is a Registered Investment Advisor. Roy has prior experience with firms such as Prudential Securities Incorporated and Bache Halsey Stuart Inc.
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.
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.
Investment consulting services to institutional clients
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.
1
2
TX
07/01/2003 - Present
Wells Fargo Clearing Services, LLC (FORT WORTH TX)
NY
09/16/1977 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
08/27/1976 - 09/16/1977
BACHE HALSEY STUART INC.
NA
02/27/1976 - 08/27/1976
BACHE & CO INCORPORATED
NA
10/03/1973 - 02/27/1976
BACHE & CO., INCORPORATED
NA
09/27/1971 - 09/27/1973
WHITE, WELD & CO. INCORPORATED
IA
Issued 12/16/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/10/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/13/1977
PC - AMEX Put and Call Exam
BC
Issued 09/23/1971
Series 1 - Registered Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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