RH
Roy Haya
FORT POINT CAPITAL PARTNERS LLC
OYSTER BAY COVE, NY
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CRD#: 2683621
RH
Professional summary
Roy Haya is a registered financial advisor currently at FORT POINT CAPITAL PARTNERS LLC located in Oyster Bay Cove, New York and UHLMANN PRICE SECURITIES, LLC located in Skokie, Illinois.
Roy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Roy has worked at 4 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 7, Series 55, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Fort Point Capital Partners, 275 Sacramento St 8th Fl, San Francisco, CA 94111, RIA Managing Director, Head of Derivative Solutions as of 4/15/2019, 20 hours per month structuring option overlays, hedging
CRS (Client Relationship Summary) - RIA
Click below to view Roy Haya's 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®
NoneExperience
Current
August 5, 2019 - Present
FORT POINT CAPITAL PARTNERS LLC
RIA
CRD#: 146759
OYSTER BAY COVE, NY
Current
April 12, 2019 - Present
UHLMANN PRICE SECURITIES, LLC
Office #1: 5202 Old Orchard Road Suite 250, Skokie, IL 60077BD
CRD#: 42854
Skokie, IL
Past
February 23, 2006 - April 16, 2019
TWENTY-FIRST SECURITIES CORPORATION
BD
CRD#: 14461
NEW YORK, NY
Past
April 16, 1996 - May 23, 1996
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
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".
FP
FORT POINT CAPITAL PARTNERS LLC
FORT POINT CAPITAL PARTNERS LLC
CRD#: 146759 / SEC#: 801-69650
RIA
Registered Investment Advisory firm - (10/24/2008 Approved)California
Registered Investment Advisory firm - (10/28/2008 Terminated)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.RR
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
RR
Arizona(4/12/2019)
RR
California(4/12/2019)
RR
Colorado(8/13/2020)
RR
Connecticut(4/12/2019)
RR
Florida(4/12/2019)
RR
Georgia(4/12/2019)
RR
Illinois(4/12/2019)
RR
Kansas(4/12/2019)
RR
Kentucky(1/10/2022)
RR
Maryland(4/12/2019)
RR
Massachusetts(4/12/2019)
RR
Michigan(4/12/2019)
RR
Minnesota(4/12/2019)
RR
Missouri(4/12/2019)
RR
Nevada(11/2/2023)
RR
New Jersey(4/12/2019)
RR
New York(4/12/2019)
IAR
New York(11/15/2022)
RR
North Carolina(4/12/2019)
RR
Ohio(4/12/2019)
RR
Oklahoma(7/8/2020)
RR
Oregon(5/21/2024)
RR
Pennsylvania(4/12/2019)
RR
South Carolina(2/17/2022)
RR
Texas(4/12/2019)
RR
Utah(3/22/2023)
RR
Vermont(11/5/2024)
RR
Virginia(4/12/2019)
RR
Washington(4/12/2019)
RR
Wyoming(9/25/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 2/18/2006
Limited Representative-Equity Trader ExamPrincipal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FP
FORT POINT CAPITAL PARTNERS LLC
FORT POINT CAPITAL PARTNERS LLC
CRD#: 146759 / SEC#: 801-69650
RIA
Registered Investment Advisory firm - (10/24/2008 Approved)California
Registered Investment Advisory firm - (10/28/2008 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
275 Sacramento Street 8th Floor, San Francisco, CA 94111
Mailing Address
Phone number
(415) 449-0570
Established
Firm type
Fiscal year end
# of Employees
28
SEC notice filing (20 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,413 |
| AUM (Assets Under Management) | $ 2,002,678,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 11/20/2024 | ||
| 04/26/2024 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
