Steven P. Roy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Steven Poling Roy was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1981. Steven had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 15, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2002 - January 3, 2017
FFEC WEALTH PARTNERS LLC
August 7, 1998 - September 9, 2002
PIPER SANDLER & CO.
March 3, 1993 - July 30, 1998
SUTRO & CO. INCORPORATED
September 4, 1990 - March 2, 1993
WELLS FARGO CLEARING SERVICES, LLC
June 12, 1989 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
May 23, 1988 - June 12, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
September 26, 1981 - May 13, 1988
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 6/29/1988
Foreign Currency Options ExaminationSeries 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 8
Date: 10/22/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
