Roy D. Mansell
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 Daniel Mansell, who also goes by Roy R Johnson, was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1998. Roy had worked at 9 firms and has passed the Series 65, Series 63, Series 7 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
January 30, 2013 - January 29, 2014
NORTH SOUTH CAPITAL, LLC
January 25, 2013 - January 29, 2014
NORTH SOUTH CAPITAL, LLC
April 18, 2005 - June 1, 2012
GUZMAN & COMPANY
October 13, 2004 - March 1, 2005
INTERCAPITAL SECURITIES LLC
October 14, 2003 - September 8, 2004
BANC OF AMERICA SECURITIES LLC
December 7, 2001 - October 3, 2003
WELLS FARGO BROKERAGE SERVICES, L.L.C.
June 13, 2001 - November 7, 2001
FIFTH THIRD SECURITIES, INC.
May 17, 2000 - May 30, 2001
CITIGROUP GLOBAL MARKETS INC.
May 21, 1999 - April 20, 2000
UBS FINANCIAL SERVICES INC.
September 1, 1998 - May 12, 1999
BARRON CHASE SECURITIES, 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
NORTH SOUTH CAPITAL, LLC
CRD#: 148158 / SEC#: , 8-67979
Contact information
FINRA licenses (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 136 |
| AUM (Assets Under Management) | $ 25,887,891 |
Disclosures
| Regulatory Event | 1 |
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.
