Roy W. Mccullough
Professional summary
Roy William Mccullough, who also goes by Bill Mccullough, R. William Mccullough, Roy William Mccullough Jr, Roy Mccullough, Roy W Mccullough, is a registered financial advisor currently at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC located in Boca Raton, Florida.
Roy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Roy has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Roy William Mccullough's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Roy William Mccullough's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 15, 2026 - Present
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Office #1: 2385 Nw Executive Center Dr Ste 260 [satellite], Boca Raton, FL 33431January 14, 2026 - Present
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Office #1: 2385 Nw Executive Center Dr Ste 260 [satellite], Boca Raton, FL 33431April 4, 2018 - January 14, 2026
WELLS FARGO CLEARING SERVICES, LLC
April 3, 2018 - January 14, 2026
WELLS FARGO CLEARING SERVICES, LLC
August 16, 2016 - March 7, 2018
PNC WEALTH MANAGEMENT LLC
August 15, 2016 - March 7, 2018
PNC WEALTH MANAGEMENT LLC
September 19, 2014 - June 27, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 10, 2014 - June 27, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 28, 2009 - September 10, 2014
TRUIST INVESTMENT SERVICES, INC.
January 23, 2009 - September 10, 2014
TRUIST INVESTMENT SERVICES, INC.
June 25, 2008 - June 26, 2009
LPL FINANCIAL LLC
April 1, 2008 - January 27, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
March 27, 2008 - January 27, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
June 24, 2004 - March 24, 2008
TRUIST INVESTMENT SERVICES, INC.
June 16, 2004 - March 24, 2008
TRUIST INVESTMENT SERVICES, INC.
October 20, 2003 - June 14, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
October 7, 2003 - June 14, 2004
IDS LIFE INSURANCE COMPANY
October 7, 2003 - June 14, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
April 24, 1999 - May 21, 1999
NATIONWIDE INVESTMENT SERVICES CORPORATION
June 19, 1998 - October 9, 1998
IDS LIFE INSURANCE COMPANY
June 19, 1998 - October 9, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
CRD#: 11025 / SEC#: 801-57434, 8-28721
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/14/2026)
(1/15/2026)
Exams
FINRA
Current Firm
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
CRD#: 11025 / SEC#: 801-57434, 8-28721
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRAVEN, JAMES J | BOARD OF MANAGERS | 4323533 |
| GINDI, SOL | BOARD OF MANAGERS | 4903526 |
| KARANIK, ERIK ANTHONY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER/CONTROL PRINCIPAL | 5616656 |
| MARKMANN, DAVID FRANZ | DESIGNATED TEXAS OFFICER | 2637778 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER | 5385585 |
| SANKOVICH, PAUL CAMERON | CHIEF COMPLIANCE OFFICER | 2475029 |
| TA, KIMBERLY CROWDER | BOARD OF MANAGERS/CONTROL PRINCIPAL | 4717506 |
| TYERS, JOHN R | PRESIDENT/BOARD OF MANAGERS/CONTROL PRINCIPAL | 2632380 |
Regulatory assets under management
| Total Number of Accounts | 401,726 |
| AUM (Assets Under Management) | $ 197,360,196,619 |
Disclosures
| Regulatory Event | 35 |
| Arbitration | 39 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2025 | ||
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
CRD#: 11025Boca Raton, FL 33431TRUST BUT VERIFY
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