Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roy? Claim Your ProfileRoy Cogdell is a financial advisor with over 30 years of experience in the industry. Roy is currently registered with Morgan Stanley and has been with the firm since March 14, 2023. Prior to joining Morgan Stanley, Roy worked at E*TRADE SECURITIES LLC, CAPE SECURITIES INC., and other firms. Roy holds a variety of licenses and certifications including Series 7, 63, 55 and SIE. Roy's specialties include asset allocation, financial planning, pension consulting, and portfolio management for individuals, businesses, and investment companies.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
GA
03/14/2023 - Present
Morgan Stanley (Alpharetta GA)
GA
11/18/2020 - 09/05/2023
E*TRADE SECURITIES LLC (ALPHARETTA GA)
GA
08/07/2017 - 12/31/2020
CAPE SECURITIES INC. (MCDONOUGH GA)
GA
04/28/2017 - 11/12/2020
AMERICAN GLOBAL WEALTH MANAGEMENT, INC. (McDonough GA)
GA
06/06/2016 - 04/27/2017
IFS SECURITIES (ATLANTA GA)
TX
03/04/2015 - 06/03/2016
NATIONAL ALLIANCE SECURITIES, LLC (AUSTIN TX)
TX
08/24/2011 - 05/23/2013
TEJAS SECURITIES GROUP, INC. (AUSTIN TX)
TX
02/07/2011 - 08/12/2011
WOODSTOCK FINANCIAL GROUP, INC. (AUSTIN TX)
NY
06/27/2001 - 02/08/2011
HAPOALIM SECURITIES USA, INC. (NEW YORK NY)
NY
03/31/1997 - 06/27/2001
HERZOG, HEINE, GEDULD, INC. (NEW YORK NY)
NY
10/23/1996 - 03/04/1997
ROBB PECK MCCOOEY CLEARING CORPORATION (NEW YORK NY)
CT
05/09/1995 - 10/08/1996
PPI EMPLOYEE BENEFITS CORPORATION (MIDDLETOWN CT)
NY
04/07/1994 - 03/16/1995
SMITH BARNEY INC. (NEW YORK NY)
IL
09/18/1991 - 02/08/1994
HOWE BARNES INVESTMENTS, INC. (CHICAGO IL)
NY
10/27/1986 - 09/13/1991
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NA
06/16/1986 - 07/23/1987
UNIVERSAL SECURITIES OF AMERICA, INC.
NA
06/09/1986 - 06/10/1986
BROOKS WEINGER ROBBINS & LEEDS INC.
BC
Issued 11/24/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/16/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/17/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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