Roy L. Starks
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 Lee Starks SR, who also goes by Roy L Starks, was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1998. Roy had worked at 3 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
April 12, 2000 - October 9, 2006
GOLDEN STATE MUTUAL SECURITIES CORP.
March 5, 1998 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 5, 1998 - February 10, 2000
EQUITABLE ADVISORS, LLC
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
GOLDEN STATE MUTUAL SECURITIES CORP.
CRD#: 35106 / SEC#: , 8-46569
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GOLDEN STATE MUTUAL LIFE INSURANCE COMPANY | OWNER | |
| JAMES, CHARLES L | PRESIDENT | 2405483 |
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.
