Roy Y. Gagaza
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 Yuzon Gagaza, who also goes by Roy Y Gagaza, was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1998. Roy had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2012 - October 5, 2020
JOURNEY WEALTH MANAGEMENT ADVISORS, LLC
March 1, 2010 - June 15, 2012
GRADIENT ADVISORS, LLC
February 1, 2010 - October 14, 2015
GRADIENT SECURITIES, LLC
October 31, 2005 - February 4, 2010
OSAIC SERVICES, INC.
August 24, 2001 - October 31, 2005
SUNAMERICA SECURITIES, INC.
May 14, 1998 - September 18, 2001
WMA SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
JOURNEY WEALTH MANAGEMENT ADVISORS, LLC
CRD#: 162412 / SEC#:
Contact information
Red Flags
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