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RG

Roy Golladay

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CRD#: 1856856
RG

Professional summary

Roy Golladay JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Roy is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Roy had worked at 2 firms, which includes FOX & COMPANY INVESTMENTS INC., AVANTAX INVESTMENT SERVICES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Roy Jr Golladay | Roy Gollady Jr

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 25, 1995 - April 26, 2005

FOX & COMPANY INVESTMENTS INC.

BD
CRD#: 18517
SCOTTSDALE, AZ
Past

August 11, 1988 - January 23, 1995

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
DALLAS, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/18/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 8/10/1988
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 7/19/1988
Direct Participation Programs Representative Examination

Current Firm

F&
FOX & COMPANY INVESTMENTS INC.
FOX & COMPANY | FOX & COMPANY INVESTMENTS INC.

CRD#: 18517 / SEC#: , 8-37061

BD
Terminated by SEC on 05/10/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
Arizona since 09/11/1985
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MOLDERMAKER, JAMES WILFREDOWNER858894
ALOI, STEPHEN ROBERT IICHIEF COMPLIANCE OFFICER3873
SULLIVAN, JAMES CHESTERROSFP804918
TRASK, ROBERT JAMESCHIEF FINANCIAL OFFICER2509073

Disclosures

Regulatory Event11
Arbitration6

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.

Company Information

FOX & COMPANY INVESTMENTS INC.

CRD#: 18517

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