Roy A. Hobbs
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 Alan Hobbs was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1994. Roy had worked at 5 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2009 - December 31, 2013
FIRST INDEPENDENT FINANCIAL SERVICES, INC.
February 9, 2002 - November 2, 2009
PARKLAND SECURITIES, LLC
August 8, 2000 - February 9, 2002
WALNUT STREET SECURITIES, INC.
October 10, 1996 - August 8, 2000
VOYA FINANCIAL ADVISORS, INC.
October 27, 1994 - October 21, 1996
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST INDEPENDENT FINANCIAL SERVICES, INC.
CRD#: 128904 / SEC#: , 8-66183
Contact information
Documents
Disclosures
| Arbitration | 1 |
Red Flags
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