Dennis E Roy
Professional Summary
Dennis E Roy, who also goes by Dennis Edward Roy, was a registered financial advisor. Dennis was a previously registered financial professional and started their career in finance 2021 - 2025. Dennis had worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dennis Edward Roy
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures on record.
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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Years of Experience
5 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
AMERICAN EXPRESS FINANCIAL ADVISORS INC. | IDS MARKETING CORPORATION | COMERICA FINANCIAL ADVISORS | AMERIPRISE FINANCIAL SERVICES, LLC. | AMERIPRISE FINANCIAL SERVICES, LLC | AMERIPRISE FINANCIAL SERVICES, INC. | AMERICAN EXPRESS FINANCIAL ADVISORS, INC.
Contact Information
Main Address
901 3rd Avenue South, Minneapolis, MN 55402Mailing Address
5221 Ameriprise Financial Center, Minneapolis, MN 55474Phone Number
(612) 671-3131Established
Delaware since 06/14/1971Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
14,056SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | — |
| ALVERO, GUMER CRUZ | BOARD DIRECTOR | 1975307 |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| EHELE, STEPHEN JR | DIRECTOR, SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER - FIELD | 1780604 |
| FLANSBURG, BRETT | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 3179474 |
| GERDES, JOSEPH FRANCIS | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATING OFFICER | 2391989 |
| HORWITH, THEODORE ROBERT | VICE PRESIDENT - CONTROLLER, CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 3257001 |
| WILLIAMS, WILLIAM JERRYL | PRESIDENT, DIRECTOR, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 1954117 |
Regulatory Assets Under Management
Total Number of Accounts
2,424,045AUM (Assets Under Management)
$660,474,421,776Disclosures
Regulatory Event
80Civil Event
1Arbitration
103Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2026 | Cover Page | Report |
| 08/19/2025 | Cover Page | Report |
| 09/23/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
AMERICAN EXPRESS FINANCIAL ADVISORS INC. | IDS MARKETING CORPORATION | COMERICA FINANCIAL ADVISORS | AMERIPRISE FINANCIAL SERVICES, LLC. | AMERIPRISE FINANCIAL SERVICES, LLC | AMERIPRISE FINANCIAL SERVICES, INC. | AMERICAN EXPRESS FINANCIAL ADVISORS, INC.
State Registrations and Notice Filings
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jun 2021About the Series 6TO examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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