Carolyn D. Royer

Some features on this profile are disabled

CRD#: 1092979

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.

Carolyn Deller Royer, who also goes by Carolyn D Ziegler, was a registered financial professional .

Carolyn is a previously registered financial professional and started their career in finance in 1983. Carolyn had worked at 12 firms and has passed the Series 65, Series 63, Series 87, Series 15, Series 7, Series 27, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Carolyn D Ziegler

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

None

Experience

Past

February 7, 2008 - December 21, 2012

JOSEPH GUNNAR & CO. LLC

RIA

CRD#: 24795

BIRDSBORO, PA

Past

February 7, 2008 - December 21, 2012

JOSEPH GUNNAR & CO. LLC

CRD#: 24795

UNIONDALE, NY

Past

March 19, 2007 - February 6, 2008

SEI INVESTMENTS MANAGEMENT CORP

RIA

CRD#: 105146

OAKS, PA

Past

May 26, 2006 - February 6, 2008

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

Past

January 7, 2002 - December 31, 2005

JOSEPH GUNNAR & CO. LLC

CRD#: 24795

UNIONDALE, NY

Past

January 31, 2000 - March 7, 2002

GRAYSON FINANCIAL LLC

CRD#: 11764

RED BANK, NJ

Past

March 10, 1998 - October 26, 1999

MILLENNIUM SECURITIES CORP.

CRD#: 31695

NEW YORK, NY

Past

October 24, 1997 - January 26, 1998

PHILLIP LOUIS TRADING, INC.

CRD#: 19378

RED BANK, NJ

Past

August 25, 1993 - March 10, 1997

MARKETING ONE SECURITIES, INC.

CRD#: 16611

PORTLAND, OR

Past

September 16, 1992 - July 6, 1993

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

September 16, 1992 - July 6, 1993

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

June 20, 1989 - January 4, 1991

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

August 8, 1986 - June 30, 1989

FSC SECURITIES CORPORATION

CRD#: 7461

Past

March 29, 1983 - September 2, 1986

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

JOSEPH GUNNAR & CO. LLC

AMERICAN PRIDE WEALTH MANAGEMENT GROUP | LELLOS WEALTH MANAGEMENT | JOSEPH GUNNAR & CO., LLC | JOSEPH GUNNAR & CO. LLC | EAST END SECURITIES, INC.

CRD#: 24795 / SEC#: 801-121064, 8-41386

RIA

Registered Investment Advisory firm - SEC (5/4/2021 Approved)

California

Registered Investment Advisory firm - SEC (8/5/2021 Terminated)

District of Columbia

Registered Investment Advisory firm - SEC (5/7/2021 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (5/10/2021 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (6/22/2021 Terminated)

New York

Registered Investment Advisory firm - SEC (5/7/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (5/20/2021 Terminated)

Texas

Registered Investment Advisory firm - SEC (5/7/2021 Terminated)

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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 65

Date: 1/5/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/4/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 87

Date: 6/2/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 15

Date: 11/15/1985

Foreign Currency Options Examination

General Industry/Product Exam

Series 7

Date: 2/19/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 8/11/2000

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 53

Date: 3/10/2000

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 6/3/1998

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/12/1987

General Securities Principal Examination

Current Firm

JOSEPH GUNNAR & CO. LLC

AMERICAN PRIDE WEALTH MANAGEMENT GROUP | LELLOS WEALTH MANAGEMENT | JOSEPH GUNNAR & CO., LLC | JOSEPH GUNNAR & CO. LLC | EAST END SECURITIES, INC.

CRD#: 24795 / SEC#: 801-121064, 8-41386

RIA

Registered Investment Advisory firm - SEC (5/4/2021 Approved)

California

Registered Investment Advisory firm - SEC (8/5/2021 Terminated)

District of Columbia

Registered Investment Advisory firm - SEC (5/7/2021 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (5/10/2021 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (6/22/2021 Terminated)

New York

Registered Investment Advisory firm - SEC (5/7/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (5/20/2021 Terminated)

Texas

Registered Investment Advisory firm - SEC (5/7/2021 Terminated)

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1000 Rxr Plaza 10th Floor, Uniondale, NY 11556

Mailing Address

1000 Rxr Plaza, Uniondale, NY 11556

Phone number

(212) 440-9600

Established

Delaware since 08/07/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (9 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

JOSEPH GUNNAR & CO., LLC ADV BROCHURE (4/23/2025)

JOSEPH GUNNAR WRAP FEE PROGRAM BROCHURE (4/23/2025)

Direct owners and executive officers

Name	Position	CRD#
JOSEPH GUNNAR HOLDING CO., LLC.	OWNER
ALAGNA, JOSEPH ANTHONY JR	CHAIRMAN, CEO	1840339
COLOMBO, DOUGLAS	PRINCIPAL OPERATIONS OFFICER	1858351
HODGE, WILLIAM PAUL	CHIEF COMPLIANCE OFFICER / AMLCO	1950852
SINGER, STEVEN FREDERIC	FINOP	2360737
STEIN, STEPHAN A	PRESIDENT	3238494

Regulatory assets under management

Total Number of Accounts	68
AUM (Assets Under Management)	$ 33,967,899

Disclosures

Regulatory Event	5
Arbitration	13

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Carolyn D. Royer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

JOSEPH GUNNAR & CO. LLC

SEI INVESTMENTS MANAGEMENT CORP

SEI INVESTMENTS DISTRIBUTION CO.

JOSEPH GUNNAR & CO. LLC

GRAYSON FINANCIAL LLC

MILLENNIUM SECURITIES CORP.

PHILLIP LOUIS TRADING, INC.

MARKETING ONE SECURITIES, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

LEGG MASON WOOD WALKER, INCORPORATED

FSC SECURITIES CORPORATION

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

JOSEPH GUNNAR & CO. LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/5/2007

Series 63

Date: 3/4/1983

Series 87

Date: 6/2/2005

Series 15

Date: 11/15/1985

Series 7

Date: 2/19/1983

Series 27

Date: 8/11/2000

Series 53

Date: 3/10/2000

Series 4

Date: 6/3/1998

Series 24

Date: 1/12/1987

Current Firm

JOSEPH GUNNAR & CO. LLC

Contact information

SEC notice filing (9 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

JOSEPH GUNNAR & CO. LLC

TRUST BUT VERIFY

Similar Advisors