Roy D. St. Pierre
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 Dean St. Pierre, who also goes by Roy D St. Pierre, Roy D Stpierre, was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1995. Roy had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 53, Series 27, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2007 - November 10, 2014
MEYER CAPITAL GROUP
May 2, 2006 - February 27, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 2, 2006 - February 27, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 2004 - January 27, 2005
SECURIAN FINANCIAL SERVICES, INC.
October 1, 2004 - January 27, 2005
SECURIAN FINANCIAL SERVICES, INC.
January 16, 2001 - November 6, 2003
CHARLES SCHWAB & CO., INC.
September 7, 1999 - November 6, 2003
CHARLES SCHWAB & CO., INC.
March 31, 1999 - August 18, 1999
CONSECO SECURITIES, INC.
June 17, 1996 - March 26, 1999
FISERV INVESTOR SERVICES, INC.
June 13, 1995 - June 26, 1996
NF CLEARING, 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
Current Firm
MEYER CAPITAL GROUP
CRD#: 105897 / SEC#: 801-34212
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,306 |
| AUM (Assets Under Management) | $ 1,484,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/30/2022 |
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.
