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Roy V. Washington

Some features on this profile are disabled
CRD#: 1997189
RW

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Roy Van Washington was a registered financial professional .

Roy is a previously registered financial professional and started their career in finance in 1989. Roy had worked at 12 firms and has passed the Series 66, Series 63, Series 65, Series 7, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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)

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

November 12, 2013 - September 4, 2014

MM GLOBAL SECURITIES, INC.

BD
CRD#: 2509
NEW YORK, NY
Past

July 11, 2012 - August 6, 2013

TRI-STAR FINANCIAL

BD
CRD#: 32458
HOUSTON, TX
Past

November 6, 2008 - July 28, 2010

SALIENT CAPITAL L.P.

BD
CRD#: 147912
HOUSTON, TX
Past

April 19, 2007 - July 29, 2010

GHE ADVISERS, L.P.

RIA
CRD#: 141451
HOUSTON, TX
Past

April 4, 2007 - July 29, 2010

SALIENT ADVISORS, L.P.

RIA
CRD#: 122833
HOUSTON, TX
Past

April 4, 2007 - July 29, 2010

CYPRESS CREEK PARTNERS

RIA
CRD#: 129346
HOUSTON, TX
Past

January 23, 2007 - November 11, 2008

SANDERS MORRIS LLC

BD
CRD#: 20580
HOUSTON, TX
Past

June 22, 2006 - March 2, 2007

FINANCIAL PARADIGMS, INC.

BD
CRD#: 125864
HOUSTON, TX
Past

August 28, 2003 - July 25, 2006

OSAIC WEALTH, INC.

BD
CRD#: 23131
HOUSTON, TX
Past

June 20, 2000 - May 31, 2002

AMERICAN GENERAL SECURITIES INCORPORATED

BD
CRD#: 13626
PHOENIX, AZ
Past

October 25, 1989 - May 5, 2000

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

October 25, 1989 - May 5, 2000

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN

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
IAR
Series 66
Date: 3/16/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/27/2003
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 2/21/1992
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/23/2009
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/23/1998
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/29/1990
General Securities Principal Examination

Current Firm

MG
MM GLOBAL SECURITIES, INC.
FEIL DAILY INVESTMENT CO. | WHITEWOOD GROUP, INC | MM IGLOBAL INC. | MM GLOBAL SECURITIES, INC. | LANGILL & CO.

CRD#: 2509 / SEC#: , 8-11988

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
575 Lexington Avenue Unit 12-130, New York, NY 10022
Mailing Address
575 Lexington Avenue Fl 14, New York, NY 10022
Phone number
(929) 666-8014
Established
Illinois since 09/25/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (15 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MMBD TRADING LTD.OWNER
EGAN, MICHAEL RCCO2269012
ZHANG, PENGFINOP/PRINCIPAL6103092

Disclosures

Regulatory Event4

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

MM GLOBAL SECURITIES, INC.

CRD#: 2509

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