Roy E. Schutz
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 Edgar Schutz was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1990. Roy had worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2021 - June 23, 2023
BUCK HR SECURITIES LLC
October 19, 2005 - May 23, 2019
CONDUENT SECURITIES, LLC
January 2, 2004 - June 2, 2005
BNY MELLON SECURITIES LLC
January 16, 2003 - December 31, 2003
MELLON HR SECURITIES, INC.
December 7, 1990 - February 6, 2003
BNY MELLON SECURITIES CORPORATION
February 1, 1990 - June 14, 1990
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
BUCK HR SECURITIES LLC
CRD#: 299842 / SEC#: , 8-70278
Contact information
Documents
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.
