RM
Roy L. Matlock
PKS ADVISORY SERVICES
Brentwood, TN 37027
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CRD#: 1241763
RM
Professional summary
Roy Leon Matlock JR is a registered financial advisor currently at PKS ADVISORY SERVICES, LLC located in Brentwood, Tennessee and PURSHE KAPLAN STERLING INVESTMENTS located in Brentwood, Tennessee.
Roy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Roy has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 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.
1. PKS Advisory Services, LLC dba RMJ Advisory. Investment related. At the registered location. Independent Advisor/Agent of PKSA- Registered independent advisory firm.11/2023. 40hours. 40hours. Meet with clients, handle client business and train other advisors. 2. RMJ Insurance LLC, Fixed Insurance, Life, P&C. Investment Related. 1802 Williamson Ct. Suite 101 Brentwood, TN. 37027. Insurance Sales. Agent. 03/2022. 10 Hrs/Mo; All During Trading Hours. Insurance Sales. 3. The Money and Business Hour Radio Show. Investment Related. 1802 Williamson Ct. Suite 101 Brentwood, TN. 37027. Talk Radio. Owner. 02/2019. Time Spent Varies, about 2 hours a week, 1/2 during trading hours. Prerecorded and Live Radio Show that is also a Podcast. No Specific Advice Given. 4. Sales Team Pro. Investment Related. 1802 Williamson Ct. Suite 101 Brentwood, TN. 37027. Sales Tool App. Owner. 06/2008. 20 Hrs/Mo; Some During Trading Hours. Operate Business. 5. Definet Contact. Not Investment Related. 1802 Williamson Ct. Suite 101 Brentwood, TN. 37027. Technology Services Company. Owner. 06/2008. 5 Hrs/Mo; Some During Trading Hours. Digital Agency that does not Involve Financial Services. Managerial in Nature. 6. RMJ Marketing LLC. Not investment related. 2817 West End. Ave. #388 Nashville, TN. 37203. Encompasses the expansion of the radio show and manages advertising. 5 Hrs/Mo; Some During Trading Hours. Digital Agency that does not Involve Financial Services. Managerial in Nature. 7. Fixed Insurance. Investment related. At the registered location. Fixed insurance. Agent. Agent. 11/13/2023. 10. 10.Provide insurance advice based on the needs of client(s). 8. RMJ Small Biz, LLC. Investment Related. At Reported Location. Health Insurance, LTC, Disability Insurance, and Medicare. Owner. 10/2025. 32 Hrs/Mo; 18 Hrs During Trading Hours. Oversee Agents Selling and to Sell As an Agent.
CRS (Client Relationship Summary) - RIA
Click below to view Roy Leon Matlock JR'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®
NoneExperience
Current
November 27, 2023 - Present
PKS ADVISORY SERVICES, LLC
Office #1: 1802 Williamson Ct Suite 101, Brentwood, TN 37027RIA
CRD#: 125648
Brentwood, TN
Current
November 21, 2023 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 1802 Williamson Ct Suite 101, Brentwood, TN 37027BD
CRD#: 35747
Brentwood, TN
Past
September 21, 2023 - October 9, 2023
PKS ADVISORY SERVICES, LLC
RIA
CRD#: 125648
Nashville, TN
Past
July 12, 2022 - October 24, 2023
TERRA WEALTH
RIA
CRD#: 320643
NASHVILLE, TN
Past
March 24, 2022 - October 9, 2023
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Nashville, TN
Past
October 1, 2020 - May 9, 2022
PFS INVESTMENTS INC.
RIA
CRD#: 10111
BRENTWOOD, TN
Past
March 19, 1984 - May 6, 2022
PFS INVESTMENTS INC.
BD
CRD#: 10111
BRENTWOOD, TN
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".
PA
PKS ADVISORY SERVICES, LLC
49 FINANCIAL | WOODLANDS PORTFOLIO MANAGEMENT | WOEHLER FINANCIAL GROUP | WEALTHPATH INVESTMENT ADVISORS | THE O'HAGAN GROUP | STRATEGIC INVESTMENT GROUP | ROYAL HARBOR PARTNERS | ROY MATLOCK JR. ADVISORY | REID FINANCIAL | PREMIER WEALTH ADVISORY GROUP | PORTUS CAPITAL MANAGEMENT | PKS ADVISORY SERVICES, LLC | NATALE WEALTH MANAGEMENT | MELECO WEALTH MANAGEMENT | MACALUSO WEALTH MANAGEMENT GROUP | KAYE RIGGS & ASSOCIATES | J. STEAKLEY WEALTH MANAGEMENT | INTEGRATED ASSET | HERITAGE FINANCIAL GROUP | GROWE CAPITAL ADVISORS | FOREVER YOUNG WEALTH | FINDLEY ADVISORS | FINANCIAL ADVISORS OF SOUTHWEST FLORIDA | FBG ADVISORY | DAVIS BRINKS WEALTH MANAGEMENT | DAE CAPITAL STRATEGIES | CONCENTRIC ADVISORS | CAPITAL SARATOGA WEALTH MANAGEMENT | ALLEGIANT WEALTH MANAGEMENT | ALBANY ADVISOR GROUP
CRD#: 125648 / SEC#: 801-62147
RIA
Registered Investment Advisory firm - (6/20/2003 Approved)New York
Registered Investment Advisory firm - (6/20/2003 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(12/8/2023)
RR
California(11/21/2023)
RR
Florida(2/6/2024)
RR
Georgia(11/22/2023)
RR
Illinois(4/30/2024)
RR
Kentucky(12/7/2023)
RR
Oregon(12/4/2023)
RR
Tennessee(12/4/2023)
IAR
Tennessee(12/6/2023)
IAR
Texas(11/27/2023)
RR
Texas(1/3/2024)
RR
Virginia(1/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PKS ADVISORY SERVICES, LLC
49 FINANCIAL | WOODLANDS PORTFOLIO MANAGEMENT | WOEHLER FINANCIAL GROUP | WEALTHPATH INVESTMENT ADVISORS | THE O'HAGAN GROUP | STRATEGIC INVESTMENT GROUP | ROYAL HARBOR PARTNERS | ROY MATLOCK JR. ADVISORY | REID FINANCIAL | PREMIER WEALTH ADVISORY GROUP | PORTUS CAPITAL MANAGEMENT | PKS ADVISORY SERVICES, LLC | NATALE WEALTH MANAGEMENT | MELECO WEALTH MANAGEMENT | MACALUSO WEALTH MANAGEMENT GROUP | KAYE RIGGS & ASSOCIATES | J. STEAKLEY WEALTH MANAGEMENT | INTEGRATED ASSET | HERITAGE FINANCIAL GROUP | GROWE CAPITAL ADVISORS | FOREVER YOUNG WEALTH | FINDLEY ADVISORS | FINANCIAL ADVISORS OF SOUTHWEST FLORIDA | FBG ADVISORY | DAVIS BRINKS WEALTH MANAGEMENT | DAE CAPITAL STRATEGIES | CONCENTRIC ADVISORS | CAPITAL SARATOGA WEALTH MANAGEMENT | ALLEGIANT WEALTH MANAGEMENT | ALBANY ADVISOR GROUP
CRD#: 125648 / SEC#: 801-62147
RIA
Registered Investment Advisory firm - (6/20/2003 Approved)New York
Registered Investment Advisory firm - (6/20/2003 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
80 State Street, Albany, NY 12207
Mailing Address
Phone number
(518) 426-5791
Established
Firm type
Fiscal year end
# of Employees
49
SEC notice filing (36 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,419 |
| AUM (Assets Under Management) | $ 905,367,391 |
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.
