Roy Corr

CITIZENS PRIVATE WEALTH

Tarrytown, NY 10591

Some features on this profile are disabled

CRD#: 2030658

Professional summary

Roy Corr, who also goes by Roy Corps, is a registered financial advisor currently at CITIZENS PRIVATE WEALTH located in Tarrytown, New York and CITIZENS SECURITIES, INC. located in Tarrytown, New York.

Roy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Roy has worked at 15 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 3, Series 7, Series 24, Series 4 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Roy Corps

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) - RIA

Click below to view Roy Corr'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

October 10, 2024 - Present

CITIZENS PRIVATE WEALTH

Office #1: 520 White Plains Road 3rd Floor, Tarrytown, NY 10591

RIA

CRD#: 106743

Tarrytown, NY

Current

October 10, 2024 - Present

CITIZENS SECURITIES, INC.

Office #1: 520 White Plains Rd 3rd Floor, Tarrytown, NY 10591

RIA

CRD#: 39550

TARRYTOWN, NY

Current

August 29, 2024 - Present

CITIZENS SECURITIES, INC.

Office #1: 520 White Plains Rd 3rd Floor, Tarrytown, NY 10591

RIA

CRD#: 39550

TARRYTOWN, NY

Past

July 28, 2022 - July 11, 2024

FARADAY CAPITAL, L.P.

RIA

CRD#: 289584

ROCKLIN, CA

Past

April 11, 2020 - December 31, 2020

FARADAY CAPITAL, L.P.

RIA

CRD#: 289584

FORT WORTH, TX

Past

June 20, 2016 - August 6, 2018

FIRST REPUBLIC SECURITIES COMPANY, LLC

CRD#: 105108

LOS ANGELES, CA

Past

December 17, 2015 - August 8, 2018

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

RIA

CRD#: 108559

LOS ANGELES, CA

Past

June 25, 2015 - September 17, 2015

SALEM PARTNERS WEALTH MANAGEMENT, LLC

RIA

CRD#: 131359

LOS ANGELES, CA

Past

November 25, 2009 - July 30, 2010

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805

CHICAGO, IL

Past

July 27, 2006 - August 24, 2010

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 137432

SANTA MONICA, CA

Past

March 9, 2004 - May 18, 2006

ASSET CONSULTING GROUP, LLC

RIA

CRD#: 107574

ST. LOUIS, MO

Past

May 14, 2003 - December 3, 2007

GUGGENHEIM INVESTOR SERVICES, LLC

CRD#: 30096

NEW YORK, NY

Past

March 11, 1999 - December 2, 2002

THOMAS WEISEL PARTNERS LLC

CRD#: 46237

SAN FRANCISCO, CA

Past

October 1, 1997 - March 11, 1999

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

February 20, 1996 - October 1, 1997

MONTGOMERY SECURITIES

CRD#: 4357

SAN FRANCISCO, CA

Past

May 25, 1995 - February 16, 1996

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

February 27, 1990 - May 2, 1995

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

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".

CITIZENS PRIVATE WEALTH

CRD#: 106743 / SEC#: 801-40835

RIA

Registered Investment Advisory firm - (2/20/1992 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
(2/26/2025)

Alaska
(2/26/2025)

Arizona
(2/26/2025)

Arkansas
(2/26/2025)

California
(2/26/2025)

Colorado
(2/26/2025)

Connecticut
(2/26/2025)

Delaware
(2/26/2025)

District of Columbia
(2/26/2025)

Florida
(2/26/2025)

Georgia
(2/26/2025)

Hawaii
(2/26/2025)

Idaho
(2/26/2025)

Illinois
(2/26/2025)

Indiana
(2/26/2025)

Iowa
(2/26/2025)

Kansas
(2/26/2025)

Kentucky
(2/26/2025)

Louisiana
(2/26/2025)

Maine
(2/26/2025)

Maryland
(2/26/2025)

Massachusetts
(2/26/2025)

Michigan
(2/26/2025)

Minnesota
(2/26/2025)

Mississippi
(2/26/2025)

Missouri
(2/26/2025)

Montana
(2/26/2025)

Nebraska
(2/26/2025)

Nevada
(2/26/2025)

New Hampshire
(2/26/2025)

New Jersey
(2/26/2025)

New Mexico
(2/26/2025)

IAR

New York
(10/10/2024)

New York
(1/17/2025)

North Carolina
(2/26/2025)

North Dakota
(2/26/2025)

Ohio
(2/26/2025)

Oklahoma
(2/26/2025)

Oregon
(2/26/2025)

Pennsylvania
(2/26/2025)

Puerto Rico
(2/26/2025)

Rhode Island
(2/26/2025)

South Carolina
(2/26/2025)

South Dakota
(2/26/2025)

Tennessee
(2/26/2025)

Texas
(2/26/2025)

Utah
(2/26/2025)

Vermont
(2/26/2025)

Virginia
(2/26/2025)

Washington
(2/26/2025)

West Virginia
(2/26/2025)

Wisconsin
(2/26/2025)

Wyoming
(2/26/2025)

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

Exams

State Security Law Exam

Series 63

Date: 1/16/2025

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/25/2015

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/28/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/6/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/18/1998

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/24/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/22/2024

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 8/14/1997

Registered Options Principal Examination

Principal/Supervisory Exam

Series 8

Date: 1/25/1991

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

CITIZENS PRIVATE WEALTH

CRD#: 106743 / SEC#: 801-40835

RIA

Registered Investment Advisory firm - (2/20/1992 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

520 White Plains Road 3rd Floor, Tarrytown, NY 10591

Mailing Address

Phone number

(914) 846-0100

Established

Firm type

Fiscal year end

# of Employees

200

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART II A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	7,846
AUM (Assets Under Management)	$ 12,182,945,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/28/2025	Cover Page	Report
07/28/2023	Cover Page	Report
10/28/2022	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.

Similar Advisors

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Anita Srivastava

MORGAN STANLEY

IAR

Paramus, NJ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Roy Corr

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

FARADAY CAPITAL, L.P.

FARADAY CAPITAL, L.P.

FIRST REPUBLIC SECURITIES COMPANY, LLC

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

SALEM PARTNERS WEALTH MANAGEMENT, LLC

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC

ASSET CONSULTING GROUP, LLC

GUGGENHEIM INVESTOR SERVICES, LLC

THOMAS WEISEL PARTNERS LLC

BANC OF AMERICA SECURITIES LLC

MONTGOMERY SECURITIES

CITICORP INVESTMENT SERVICES

CREDIT SUISSE SECURITIES (USA) LLC

Primary Firm SEC Registration

CITIZENS PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 63

Date: 1/16/2025

Series 65

Date: 6/25/2015

Series 7TO

Date: 8/28/2024

SIE

Date: 8/6/2018

Series 3

Date: 6/18/1998

Series 7

Date: 2/24/1990

Series 24

Date: 9/22/2024

Series 4

Date: 8/14/1997

Series 8

Date: 1/25/1991

FINRA

Current Firm

CITIZENS PRIVATE WEALTH

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CITIZENS PRIVATE WEALTH

TRUST BUT VERIFY

Similar Advisors