Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roy? Claim Your ProfileRoy Kenneth Woods is a financial advisor with over 28 years of experience in the financial services industry. Roy is currently registered with Raymond James Financial Services Advisors, Inc. in Rome, GA and has previously held positions with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Keegan & Company, Inc., Regions Investment Company, Inc., Edward Jones, EQ Financial Consultants, Inc. and The Equitable Life Assurance Society of the United States. Roy is a licensed securities professional and holds Series 6, 7, 63 and 66 securities licenses. Roy holds both a securities license and investment advisor license.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
GA
06/10/2021 - Present
Raymond James Financial Services Advisors, Inc. (Rome GA)
GA
02/29/2008 - 08/11/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ROME GA)
GA
04/12/2001 - 03/03/2008
MORGAN KEEGAN & COMPANY, INC. (CEDARTOWN GA)
AL
05/10/2000 - 04/12/2001
REGIONS INVESTMENT COMPANY, INC. (BIRMINGHAM AL)
MO
09/24/1996 - 05/31/2000
EDWARD JONES (ST. LOUIS MO)
NY
01/12/1994 - 10/08/1996
EQ FINANCIAL CONSULTANTS, INC. (NEW YORK NY)
NY
01/12/1994 - 10/08/1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
BOTH
Issued 04/18/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/11/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/04/1996
Series 7 - General Securities Representative Examination
BC
Issued 01/11/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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