Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roy? Claim Your ProfileRoy Ness is a financial advisor with Cambridge Investment Research Advisors, Inc., located in Grand Junction, Colorado. Roy has been a registered representative since 1984. Roy holds the Series 63 and Series 7 licenses as well as the SIE and Series 65 licenses. Roy is also a Certified Financial Planner. Roy has over 38 years of experience in the financial services industry. Prior to joining Cambridge Investment Research Advisors, Inc., Roy was with Financial West Group. Roy specializes in providing financial planning, portfolio management, and pension consulting services to individuals 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.
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.
Solicitation fees from 3rd party money managers
1
2
CO
01/03/2011 - Present
Cambridge Investment Research Advisors, Inc. (GRAND JUNCTION CO)
CO
10/18/2001 - 01/03/2011
FINANCIAL WEST GROUP (GRAND JUNCTION CO)
WA
01/01/1992 - 10/16/2001
INTERPACIFIC INVESTORS SERVICES, INC. (SEATTLE WA)
NY
08/01/1991 - 01/02/1992
LIBERTY SECURITIES CORPORATION (PURCHASE NY)
NA
07/06/1988 - 09/04/1991
GAF FINANCIAL AND INSURANCE SERVICES
NA
03/09/1988 - 08/01/1991
PAMCO SECURITIES AND INSURANCE SERVICES
NA
03/06/1987 - 03/16/1988
A. G. EDWARDS & SONS, INC.
NA
02/17/1987 - 04/01/1987
B.C. CHRISTOPHER SECURITIES CO.
NA
09/24/1984 - 02/18/1987
PITTOCK FINANCIAL CORPORATION
IA
Issued 03/02/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/12/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/15/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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