Roy E. Wiley

SMARTPLAN INVESTING

JUNO BEACH, FL 33408

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CRD#: 1052166

Professional summary

Roy Edward Wiley, AIF®, who also goes by Leroy Edward Wiley, is a registered financial advisor currently at SMARTPLAN INVESTING located in Juno Beach, Florida.

Roy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Roy has worked at 5 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Leroy Edward Wiley

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

FLORIDA LICENSED INSURANCE AGENT LESS THAN 10 HOURS PER MONTH, FLORIDA LICENSED SINCE 05/1992, NOT INVESTMENT-RELATED, 711 W INDIANTOWN RD., JUPITER, FL, INSURANCE SALES. FLORIDA CPA AND OWNER OF COVENANT FINANCIAL, P.A. NOT INVESTMENT RELATED, 711 W INDIANTOWN ROAD, C5, JUPITER, FL 33458. TAX, ACCOUNTING, AND PAYROLL SERVICES. OWNER AND PRESIDENT, STARTED IN 1993. HOURS VARY DEPENDING ON TIME OF YEAR. CAN BE 5 TO 40 HOURS PER WEEK. HOURS DEVOTED DURING SECURITIES TRADING HOURS LESS THAN 20. TAX PREPARATION AND PLANNING, IRS PROBLEM SOLVING AND IRS CORRESPONDENCE WHEN NECESSARY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy Edward Wiley's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Current

October 13, 2005 - Present

SMARTPLAN INVESTING

Office #1: 14255 Us Highway 1 Suite 240, Juno Beach, FL 33408

RIA

CRD#: 141977

JUNO BEACH, FL

Past

July 17, 2002 - October 13, 2003

FINANCIAL SOLUTIONS INTERNATIONAL, LLC

CRD#: 104149

PALM BEACH GARDENS, FL

Past

February 3, 1998 - July 25, 2000

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

October 1, 1996 - December 18, 1997

SOUTHERN CAPITAL SECURITIES, INC.

CRD#: 27188

TAMPA, FL

Past

March 27, 1992 - December 31, 1995

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

April 18, 1989 - December 31, 1990

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

July 7, 1982 - September 3, 1983

PFS INVESTMENTS INC.

CRD#: 10111

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(10/13/2005)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/27/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/30/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/15/1989

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/30/1982

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SMARTPLAN INVESTING

FINANCIAL PLANNING COUNSELORS, INC. | SMARTPLAN INVESTING

CRD#: 141977 / SEC#:

Florida

Registered Investment Advisory firm - (7/18/2002 Approved)

Georgia

Registered Investment Advisory firm - (7/1/2013 Approved)

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Contact information

Main Address

14255 Us Highway 1 Suite 240, Juno Beach, FL 33408

Mailing Address

Phone number

(561) 744-9516

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Roy E. Wiley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy Edward Wiley's CRS (Customer Relationship Summary).

Certified licenses

Experience

SMARTPLAN INVESTING

FINANCIAL SOLUTIONS INTERNATIONAL, LLC

OSAIC FS, INC.

SOUTHERN CAPITAL SECURITIES, INC.

OSAIC FS, INC.

OSAIC FS, INC.

PFS INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/27/2005

Series 63

Date: 6/30/1982

Series 7

Date: 4/15/1989

Series 6

Date: 6/30/1982

Current Firm

SMARTPLAN INVESTING

Contact information

Documents

Red Flags

Company Information

SMARTPLAN INVESTING

TRUST BUT VERIFY

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