William F. Masucci

ROYALE ASSET MANAGEMENT LLC

Rochester, NY

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CRD#: 1267408

Professional summary

William Frank Masucci was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Prior to being barred, William has worked at 8 firms, which includes H.J. MEYERS & CO. INC., ALISON BAER SECURITIES INC., MONMOUTH INVESTMENTS INC., ALLIED CAPITAL GROUP INC., GRAYSTONE NASH INC., THE STUART-JAMES COMPANY INCORPORATED, LEHMAN BROTHERS INC..

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 William Frank Masucci'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®

None

Experience

Current

April 20, 2021 - Present

ROYALE ASSET MANAGEMENT LLC

RIA

CRD#: 281827

Rochester, NY

Past

November 13, 1989 - October 5, 1998

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

Past

April 10, 1989 - October 19, 1989

ALISON, BAER SECURITIES INC.

CRD#: 11808

Past

February 2, 1989 - September 13, 1991

MONMOUTH INVESTMENTS, INC.

CRD#: 14047

Past

March 4, 1988 - February 8, 1989

ALLIED CAPITAL GROUP, INC.

CRD#: 13146

Past

August 5, 1987 - March 16, 1988

GRAYSTONE NASH, INC.

CRD#: 10635

Past

October 4, 1985 - August 11, 1987

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

Past

June 22, 1984 - October 7, 1985

LEHMAN BROTHERS INC.

CRD#: 7506

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".

ROYALE ASSET MANAGEMENT LLC

CRD#: 281827 / SEC#: 801-106939

RIA

Registered Investment Advisory firm - (11/19/2015 Approved)

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

New York
(4/20/2021)

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: 3/31/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/24/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 6/28/1984

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/19/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/22/1986

General Securities Principal Examination

Current Firm

ROYALE ASSET MANAGEMENT LLC

CRD#: 281827 / SEC#: 801-106939

RIA

Registered Investment Advisory firm - (11/19/2015 Approved)

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Contact information

Main Address

Rochester, NY

Mailing Address

P.o. Box #365, Pittsford, NY 14534

Phone number

(585) 737-5381

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

FORM ADV PART 2A - 10.23.2025 (10/23/2025)

Regulatory assets under management

Total Number of Accounts	53
AUM (Assets Under Management)	$ 65,597,624

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

William F. Masucci

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Frank Masucci's CRS (Customer Relationship Summary).

Certified licenses

Experience

H.J. MEYERS & CO., INC.

ALISON, BAER SECURITIES INC.

MONMOUTH INVESTMENTS, INC.

ALLIED CAPITAL GROUP, INC.

GRAYSTONE NASH, INC.

THE STUART-JAMES COMPANY, INCORPORATED

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

ROYALE ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/31/2021

Series 63

Date: 5/24/1984

Series 3

Date: 6/28/1984

Series 7

Date: 5/19/1984

Series 24

Date: 7/22/1986

Current Firm

ROYALE ASSET MANAGEMENT LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROYALE ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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