Steven F. Roy
Professional summary
Steven Francis Roy is a registered financial professional currently at COMHAR CAPITAL MARKETS, LLC located in Wilmette, Illinois.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1993. Steven has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Francis Roy's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 24, 2015 - Present
COMHAR CAPITAL MARKETS, LLC
Office #1: 1000 Skokie Boulevard Suite Ll33, Wilmette, IL 60091January 4, 2013 - January 23, 2015
CITADEL SECURITIES LLC
April 1, 2011 - December 13, 2012
RAYMOND JAMES & ASSOCIATES, INC.
February 6, 2009 - June 21, 2011
HOWE BARNES HOEFER & ARNETT, INC.
December 7, 2001 - February 5, 2009
G1 EXECUTION SERVICES, LLC
April 8, 1998 - July 18, 2001
WELLS FARGO CLEARING SERVICES, LLC
June 5, 1997 - March 2, 1998
HARRIS NESBITT CORP.
November 11, 1993 - May 1, 1997
GVR COMPANY
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/14/1999
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Nasdaq Stock Market
Current Firm
COMHAR CAPITAL MARKETS, LLC
CRD#: 47955 / SEC#: , 8-51969
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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