Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roy? Claim Your ProfileRoy Whiteman is a financial advisor at Prospera Financial Services, Inc. Roy has been in the financial services industry since 1985, and has a broad range of experience. Roy has been a registered representative with Prospera Financial Services, Inc. since 2005 and holds Series 4, 7, 8, 9, 10, 63, 99TO and SIE licenses. Roy has experience working at several firms prior to joining Prospera Financial Services, Inc. including TAG Securities, Inc., EVEREN SECURITIES, INC., PRINCIPAL FINANCIAL SECURITIES,INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and STIFEL, NICOLAUS & COMPANY, INCORPORATED.
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.
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.
Percentage of assets under review
1
2
TX
01/14/2005 - Present
Prospera Financial Services, Inc. (Hurst TX)
FL
08/10/2004 - 12/31/2008
TAG SECURITIES, INC. (BOCA RATON FL)
MO
05/11/1998 - 03/09/1999
EVEREN SECURITIES, INC. (ST. LOUIS MO)
TX
11/17/1992 - 05/11/1998
PRINCIPAL FINANCIAL SECURITIES,INC. (DALLAS TX)
NY
04/10/1985 - 11/13/1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
01/23/1985 - 04/01/1985
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BC
Issued 01/29/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/19/1994
Series 4 - Registered Options Principal Examination
BC
Issued 08/31/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/19/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Roy Whiteman is the right advisor for you? Invested Better is here to help.
