Lillia E. 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.
Lillia Elizabeth Roy, who also goes by Lillia Roy, was a registered financial professional .
Lillia is a previously registered financial professional and started their career in finance in 1997. Lillia had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 24 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
March 23, 2006 - December 31, 2010
RAVEN'SWING ASSET MANAGEMENT, INC.
January 18, 2005 - December 31, 2010
MINDFUL INVESTMENT MANAGEMENT COMPANY
December 13, 2002 - July 10, 2014
LONGVIEW ASSET MANAGEMENT, LLC
July 10, 1997 - August 21, 1998
CHARLES SCHWAB & CO., INC.
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 8
Date: 5/6/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current firm
No current employment
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.
