Roy F. Miranda

DELTA ADVISORY GROUP

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CRD#: 1139046

Professional summary

Roy Francisco Miranda, AIF® is a registered financial advisor currently at DELTA ADVISORY GROUP, INC. and DELTA CAPITAL MANAGEMENT, LLC located in Maitland, Florida.

Roy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Roy has worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Roy Francisco Miranda's CRS (Customer Relationship Summary).

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

July 27, 2010 - Present

DELTA ADVISORY GROUP, INC.

RIA

CRD#: 105966

Current

October 26, 2010 - Present

DELTA CAPITAL MANAGEMENT, LLC

Office #1: 698 N. Maitland Avenue Suite 201, Maitland, FL 32751

RIA

CRD#: 128350

Maitland, FL

Past

January 18, 2008 - December 31, 2008

MUTUAL SERVICE CORPORATION

RIA

CRD#: 4806

ORLANDO, FL

Past

January 11, 2008 - December 31, 2008

MUTUAL SERVICE CORPORATION

CRD#: 4806

ORLANDO, FL

Past

October 3, 2006 - December 31, 2007

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

LONGWOOD, FL

Past

April 28, 2006 - December 31, 2007

PRINCIPAL SECURITIES, INC.

CRD#: 1137

LONGWOOD, FL

Past

March 22, 2005 - May 10, 2006

NATIONWIDE SECURITIES, LLC

CRD#: 11173

COLUMBUS, OH

Past

August 20, 2004 - January 11, 2005

NATIONWIDE SECURITIES, LLC

CRD#: 11173

COLUMBUS, OH

Past

September 11, 2002 - June 21, 2004

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

August 22, 1983 - January 9, 1987

PFS INVESTMENTS INC.

CRD#: 10111

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".

DELTA CAPITAL MANAGEMENT, LLC

DELTA CAPITAL MANAGEMENT, LLC | DONOVAN CASTERLINE LLC

CRD#: 128350 / SEC#: 801-118594

RIA

Registered Investment Advisory firm - (4/30/2020 Approved)

Florida

Registered Investment Advisory firm - (6/30/2020 Terminated)

Louisiana

Registered Investment Advisory firm - (7/1/2020 Terminated)

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.

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
(7/27/2010)

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: 9/26/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/18/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/9/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/10/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

DELTA CAPITAL MANAGEMENT, LLC

DELTA CAPITAL MANAGEMENT, LLC | DONOVAN CASTERLINE LLC

CRD#: 128350 / SEC#: 801-118594

RIA

Registered Investment Advisory firm - (4/30/2020 Approved)

Florida

Registered Investment Advisory firm - (6/30/2020 Terminated)

Louisiana

Registered Investment Advisory firm - (7/1/2020 Terminated)

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Contact information

Main Address

698 N. Maitland Avenue Suite 201, Maitland, FL 32751

Mailing Address

Phone number

(407) 422-2423

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DCM ADV PART 2A 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	128
AUM (Assets Under Management)	$ 248,375,866

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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Firm Stability Insights

Roy F. Miranda

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy Francisco Miranda's CRS (Customer Relationship Summary).

Certified licenses

Experience

DELTA ADVISORY GROUP, INC.

DELTA CAPITAL MANAGEMENT, LLC

MUTUAL SERVICE CORPORATION

MUTUAL SERVICE CORPORATION

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

NATIONWIDE SECURITIES, LLC

NATIONWIDE SECURITIES, LLC

PRINCIPAL SECURITIES, INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

DELTA CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/26/2006

Series 63

Date: 8/18/1983

Series 7

Date: 5/9/2008

Series 6

Date: 9/10/2002

Current Firm

DELTA CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DELTA CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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