Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roy? Claim Your ProfileRoy U. King II is an investment advisor representative with Morgan Stanley. Roy has been in the financial services industry since October 6, 1996. Roy holds the Series 4, Series 7, and Series 63 licenses, and he has been registered with the Securities and Exchange Commission (SEC) since 2000. Before joining Morgan Stanley, Roy was employed by CITIGROUP GLOBAL MARKETS INC, BAYSIDE FINANCIAL, LLC, and ALAMO CAPITAL. Roy is registered in 53 states and districts, as well as in Texas for investment advisory services.
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
CA
10/05/2015 - Present
Morgan Stanley (Menlo Park CA)
CA
01/20/2000 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (MENLO PARK CA)
CA
09/17/1999 - 01/13/2000
BAYSIDE FINANCIAL, LLC (WALNUT CREEK CA)
CA
07/30/1996 - 07/15/1999
ALAMO CAPITAL (WALNUT CREEK CA)
BC
Issued 07/03/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/25/1997
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/24/1996
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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