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Roy Phillip Laux

J.w. Cole Financial, Inc.

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About Roy Phillip Laux

Roy Phillip Laux is a financial professional with over 30 years of experience in the industry. Roy is currently registered with J.w. Cole Financial, Inc. and holds Series 6, 22, and 63 licenses as well as the SIE. Roy is registered in seven states: California, Florida, Nevada, North Carolina, Ohio, Pennsylvania, and South Carolina.

Firm Information

Roy Laux is currently registered with J.w. Cole Financial, Inc.. J.w. Cole Financial, Inc. is a Corporation formed in October 2002 and is registered in 52 states, including Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.

Not reported

Assets Under Management

Not reported

Total Clients

84

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Roy Laux’s Registration & Firm History

PA

04/16/2019 - Present

J.w. Cole Financial, Inc. (WHITE OAK PA)

PA

07/01/2013 - 04/18/2019

G.F. INVESTMENT SERVICES, LLC (WHITE OAK PA)

PA

10/03/2011 - 06/21/2013

ALLIED BEACON PARTNERS, INC. (MCKEESPORT PA)

PA

07/05/2006 - 09/30/2011

WORKMAN SECURITIES CORPORATION (MCKEESPORT PA)

MN

01/14/2002 - 06/23/2006

USALLIANZ SECURITIES, INC. (MINNEAPOLIS MN)

MN

05/29/2001 - 12/31/2001

USALLIANZ SECURITIES, INC. (MINNEAPOLIS MN)

FL

10/02/2000 - 06/04/2001

INTERSECURITIES, INC. (ST. PETERSBURG FL)

MN

09/07/1999 - 10/03/2000

FORTIS INVESTORS, INC. (OAKDALE MN)

IL

01/05/1999 - 06/22/1999

CARDINAL INVESTMENTS, INC. (BELLEVILLE IL)

MO

07/24/1997 - 12/31/1998

IMPACT FINANCIAL NETWORK, INC. (EXCELLO MO)

MN

07/17/1990 - 07/23/1997

FORTIS INVESTORS, INC. (OAKDALE MN)

PA

03/16/1987 - 07/16/1990

BRYN MAWR SECURITIES INC. (KING OF PRUSSIA PA)

NA

01/02/1985 - 04/14/1987

NYLIFE SECURITIES INC.

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Licenses & Designations

BC

Issued 12/19/1984

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/14/1984

Series 22 - Direct Participation Programs Representative Examination

BC

Issued 10/31/1984

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Roy Phillip Laux. Review regulatory record here.
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