Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Royce? Claim Your ProfileRoyce Alan Huffaker is a financial advisor with Pacific Oak Capital Markets, LLC in COSTA MESA, CA. Royce has been in the financial industry since June 15, 2009. Royce has experience with several firms including ARETE WEALTH MANAGEMENT, LLC, KBS CAPITAL MARKETS GROUP LLC, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, WELLS FARGO ADVISORS, LLC and WELLS FARGO INVESTMENTS, LLC. Royce is registered with FINRA and holds the following licenses: Series 7, Series 66, and SIE.
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.
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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2
CA
01/06/2021 - Present
Pacific OAK Capital Markets, LLC (COSTA MESA CA)
IL
11/13/2018 - 12/31/2020
ARETE WEALTH MANAGEMENT, LLC (CHICAGO IL)
CA
05/24/2012 - 11/08/2018
KBS CAPITAL MARKETS GROUP LLC (NEWPORT BEACH CA)
CA
08/17/2011 - 11/15/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
CA
01/03/2011 - 07/15/2011
WELLS FARGO ADVISORS, LLC (ORANGE CA)
CA
10/28/2008 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (ORANGE CA)
BOTH
Issued 11/07/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/27/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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