Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roy? Claim Your ProfileRoy Blumberg is an investment advisor representative with Private Advisor Group, LLC. Roy has been in the industry since 1991 and has been registered with the state of Pennsylvania since 2012. Roy holds the Series 63, 65, 7 and 24 licenses. Roy specializes in portfolio management for individuals and businesses. Roy has a background in working with individuals, families, trusts, charitable organizations and businesses.
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.
Solicitation/referral
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.
Solicitor/referral fees
1
2
PA
06/01/2012 - Present
Private Advisor Group, LLC (MALVERN PA)
AL
03/16/2009 - 08/03/2009
STERNE, AGEE & LEACH, INC. (BIRMINGHAM AL)
PA
07/12/2006 - 06/23/2008
JANNEY MONTGOMERY SCOTT LLC (PHILADELPHIA PA)
AL
07/12/2000 - 07/10/2006
STERNE, AGEE & LEACH, INC. (BIRMINGHAM AL)
CA
01/28/1997 - 08/29/1999
FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)
NY
08/06/1996 - 10/08/1998
JOSEPHTHAL & CO., INC. (NEW YORK NY)
NY
08/31/1992 - 01/31/1994
JOSEPHTHAL LYON & ROSS INCORPORATED (NEW YORK NY)
NY
10/25/1990 - 01/28/1992
MARTIN SIMPSON & COMPANY, INC. (NEW YORK NY)
NA
08/10/1987 - 11/08/1989
THOMSON MCKINNON SECURITIES INC.
NA
01/21/1986 - 07/27/1987
CAPITAL INTERMEDIARY GROUP, LTD.
IA
Issued 05/17/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/24/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/25/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/16/2005
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 12/15/2004
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 01/30/2003
Series 16 - NYSE Supervisory Analyst Examination
BC
Issued 01/18/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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