Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Francis Roy is a financial advisor with over 27 years of experience in the industry. Currently, Steven is registered with Comhar Capital Markets, LLC, a firm that is NOTINSCOPE with the Investment Advisor Act of 1940. Previously, Steven worked with Citadel Securities LLC, Raymond James & Associates, Inc., Howe Barnes Hoefer & Arnett, Inc., E*TRADE Capital Markets LLC, First Union Securities, Inc., Nesbitt Burns Securities Inc., and GVR Company. Steven holds multiple licenses, including Series 7, Series 24, Series 55, Series 57TO, and SIE. Steven has a broad background in the financial services industry and a strong commitment to helping clients reach their financial goals.
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.
1
2
IL
11/24/2015 - Present
Comhar Capital Markets, LLC (Chicago IL)
IL
01/04/2013 - 01/23/2015
CITADEL SECURITIES LLC (CHICAGO IL)
IL
04/01/2011 - 12/13/2012
RAYMOND JAMES & ASSOCIATES, INC. (CHICAGO IL)
IL
02/06/2009 - 06/21/2011
HOWE BARNES HOEFER & ARNETT, INC. (CHICAGO IL)
IL
12/07/2001 - 02/05/2009
E*TRADE CAPITAL MARKETS LLC (CHICAGO IL)
MO
04/08/1998 - 07/18/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
IL
06/05/1997 - 03/02/1998
NESBITT BURNS SECURITIES INC. (CHICAGO IL)
IL
11/11/1993 - 05/01/1997
GVR COMPANY (CHICAGO IL)
BC
Issued 05/17/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/20/1997
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/14/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/10/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
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