Jeffrey A. Roy

CETERA INVESTMENT ADVISERS LLC

LAFAYETTE, LA 70508

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CRD#: 1489370

Professional summary

Jeffrey Anthony Roy, who also goes by Jeff Roy, Jeffrey Anthony Roy Sr, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lafayette, Louisiana and CETERA INVESTMENT SERVICES LLC located in Lafayette, Louisiana.

Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Jeffrey has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeff Roy | Jeffrey Anthony Roy Sr

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.

ONE ACADIANA, 804 E. ST. MARY ST., LAFAYETTE, LA 70503, 337-233-2705, SIMILAR TO A CHAMBER OF COMMERCE ORGANIZATION, MEMBER OF THE INFASTRUCTURE COMMITTE, MONTHLY MEETINGS TO DISCUSS & PROMOTE RELVANT TOPICS, COMPENSATION - $0, HRS. - 1.5 HRS. MONTHLY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Anthony Roy'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

August 10, 2022 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1301 Camelia Blvd., Lafayette, LA 70508Office #2: 445 North Blvd., Baton Rouge, LA 70802

RIA

CRD#: 105644

LAFAYETTE, LA

Current

August 10, 2022 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 1301 Camelia Blvd., Lafayette, LA 70508Office #2: 445 North Blvd., Baton Rouge, LA 70802

CRD#: 15340

Lafayette, LA

Past

August 5, 2019 - August 10, 2022

HANCOCK WHITNEY INVESTMENT SERVICES INC.

RIA

CRD#: 40637

LAFAYETTE, LA

Past

August 5, 2019 - August 10, 2022

HANCOCK WHITNEY INVESTMENT SERVICES INC.

CRD#: 40637

LAFAYETTE, LA

Past

February 13, 2013 - August 6, 2019

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

LAFAYETTE, LA

Past

February 13, 2013 - August 6, 2019

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

LAFAYETTE, LA

Past

April 23, 2008 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

LAFAYETTE, LA

Past

April 21, 2008 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

LAFAYETTE, LA

Past

March 29, 2007 - April 18, 2008

FINANCIAL WEST GROUP

CRD#: 16668

RENO, NV

Past

January 20, 2005 - December 1, 2006

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

BATON ROUGE, LA

Past

April 6, 2004 - December 31, 2004

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

February 24, 2003 - March 8, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

February 8, 2002 - February 7, 2003

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900

CHARLOTTE, NC

Past

July 29, 1996 - February 14, 2002

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

April 20, 1989 - August 14, 1996

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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.

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

Alabama
(10/18/2024)

Florida
(7/3/2025)

Kansas
(10/18/2024)

Louisiana
(8/10/2022)

IAR

Louisiana
(8/10/2022)

Mississippi
(8/10/2022)

Oklahoma
(7/3/2025)

Texas
(8/10/2022)

IAR

Texas
(8/10/2022)

Utah
(8/10/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/23/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/25/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/30/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/18/1989

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 11/7/1996

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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

Jeffrey A. Roy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Anthony Roy's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

HANCOCK WHITNEY INVESTMENT SERVICES INC.

HANCOCK WHITNEY INVESTMENT SERVICES INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

FINANCIAL WEST GROUP

VOYA FINANCIAL ADVISORS, INC.

OSAIC FS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

EQUITABLE DISTRIBUTORS, LLC

1717 CAPITAL MANAGEMENT COMPANY

WOODBURY FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/23/2017

Series 63

Date: 3/25/2002

SIE

Date: 10/1/2018

Series 7

Date: 10/30/2001

Series 6

Date: 4/18/1989

Series 26

Date: 11/7/1996

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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