Alan R. Joyce

ROSSBY FINANCIAL | Financial Advisor

Jacksonville, FL

Some features on this profile are disabled

CRD#: 1683601

Professional summary

Alan Richard Joyce is a registered financial advisor currently at ROSSBY FINANCIAL, LLC located in Jacksonville, Florida.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Alan has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 and Series 24 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) The Alan R Joyce Company LLC - not investment related - Jacksonville, FL - Consulting - Owner/Proprietor - 11/2020 - 2 - 0 - Consulting to real estate and structured settlement sellers. 2) The Britus Group LLC - not investment related - Jacksonville, FL - management of companies and enterprises - Partner - 03/2024 - 2 - 0 - No current operations.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Richard Joyce'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

May 16, 2025 - Present

ROSSBY FINANCIAL, LLC

RIA

CRD#: 324631

Jacksonville, FL

Past

November 8, 2024 - June 27, 2025

CORAL REEF ADVISORS LLC

RIA

CRD#: 328929

PONTE VEDRA BEACH, FL

Past

November 19, 2003 - March 12, 2024

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

JACKSONVILLE, FL

Past

October 3, 2003 - March 12, 2024

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

JACKSONVILLE, FL

Past

July 19, 2002 - December 3, 2002

DEUTSCHE BANK SECURITIES INC.

RIA

CRD#: 2525

ATLANTA, GA

Past

January 13, 2001 - October 16, 2003

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

December 9, 1999 - January 13, 2001

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

August 28, 1998 - September 15, 1998

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

September 1, 1997 - August 28, 1998

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

March 4, 1996 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

June 9, 1989 - April 3, 1996

BARNETT INVESTMENTS, INC.

CRD#: 14897

JACKSONVILLE, FL

Past

July 22, 1987 - June 5, 1989

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

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".

ROSSBY FINANCIAL, LLC

CRD#: 324631 / SEC#: 801-127370

RIA

Registered Investment Advisory firm - (2/24/2023 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

Florida
(6/6/2025)

IAR

Texas
(5/16/2025)

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: 10/6/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/10/1987

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: 7/18/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 6/30/1995

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/22/1995

General Securities Principal Examination

Current Firm

ROSSBY FINANCIAL, LLC

CRD#: 324631 / SEC#: 801-127370

RIA

Registered Investment Advisory firm - (2/24/2023 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2412 Irwin Street, Melbourne, FL 32901

Mailing Address

Phone number

(321) 209-0111

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (31 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROSSBY WRAP BROCHURE 2025 (3/4/2025)

ROSSBY ADV PART 2A BROCHURE (3/4/2025)

Regulatory assets under management

Total Number of Accounts	804
AUM (Assets Under Management)	$ 358,627,117

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Alan R. Joyce

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Richard Joyce's CRS (Customer Relationship Summary).

Certified licenses

Experience

CORAL REEF ADVISORS LLC

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

DEUTSCHE BANK SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

PRUDENTIAL EQUITY GROUP, LLC

DB ALEX. BROWN LLC

ALEX. BROWN & SONS INCORPORATED

BARNETT INVESTMENTS, INC.

KIDDER, PEABODY & CO. INCORPORATED

Primary Firm SEC Registration

ROSSBY FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/6/1995

Series 63

Date: 8/10/1987

SIE

Date: 10/1/2018

Series 7

Date: 7/18/1987

Series 53

Date: 6/30/1995

Series 24

Date: 3/22/1995

Current Firm

ROSSBY FINANCIAL, LLC

Contact information

SEC notice filing (31 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROSSBY FINANCIAL, LLC

TRUST BUT VERIFY

Contact information

Similar Advisors