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Roy B. Smolarz

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CRD#: 2803577
RS

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 Barry Smolarz was a registered financial professional .

Roy is a previously registered financial professional and started their career in finance in 1997. Roy had worked at 9 firms and has passed the Series 63, Series 65, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 3, 2020 - April 19, 2024

VALTUS CAPITAL GROUP, LLC

BD
CRD#: 145841
LAS VEGAS, NV
Past

January 8, 2019 - April 18, 2019

GROWTH CAPITAL SERVICES, INC.

BD
CRD#: 124658
CLAYMONT, DE
Past

March 31, 2015 - December 31, 2018

GROWTH CAPITAL SERVICES, INC.

BD
CRD#: 124658
CLAYMONT, DE
Past

October 24, 2012 - October 27, 2014

VCS VENTURE SECURITIES

BD
CRD#: 127921
NEW YORK, NY
Past

January 8, 2009 - October 10, 2012

DOMINICK & DICKERMAN LLC

BD
CRD#: 7344
NEW YORK, NY
Past

April 13, 2004 - July 9, 2004

LADENBURG THALMANN ASSET MANAGEMENT INC

RIA
CRD#: 108604
NEW YORK, NY
Past

May 17, 2002 - June 24, 2004

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

April 15, 2002 - May 20, 2002

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
PARAMUS, NJ
Past

April 1, 2002 - May 20, 2002

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

October 13, 1999 - October 3, 2001

GMS GROUP

BD
CRD#: 8000
EAST HANOVER, NJ
Past

March 20, 1997 - November 24, 1997

PRICEWATERHOUSECOOPERS CORPORATE FINANCE LLC

BD
CRD#: 41461
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/21/2013
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 4/13/2002
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/6/2009
General Securities Representative Examination

Current Firm

VC
VALTUS CAPITAL GROUP, LLC
SIERRA REPUBLIC FINANCE, LLC. | VALTUS CAPITAL GROUP, LLC | SINGAL CAPITAL PARTNERS, LLC

CRD#: 145841 / SEC#: , 8-67754

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
3993 Howard Hughes Pkwy Suite 140, Las Vegas, NV 89169
Mailing Address
3452 E. Foothill Blvd Suite 800, Pasadena, CA 91107
Phone number
(702) 216-2600
Established
Nevada since 10/19/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SINGAL, VINEY KUMARPRESIDENT / MANAGING MEMBER3198279
THORNTON, STEVEN LEEFINOP / CFO / PRINCIPAL/AML-CO / CCO4496384

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.

Company Information

VALTUS CAPITAL GROUP, LLC

CRD#: 145841

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