Roy D. Vance
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 Downey Vance 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 66, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2009 - December 28, 2015
AVANTAX ADVISORY SERVICES
August 20, 2009 - December 28, 2015
AVANTAX INVESTMENT SERVICES, INC.
September 29, 2008 - August 5, 2009
EQUITABLE ADVISORS, LLC
September 4, 2008 - August 5, 2009
EQUITABLE ADVISORS, LLC
July 22, 2002 - November 11, 2006
AVANTAX INVESTMENT SERVICES, INC.
September 24, 1999 - July 19, 2000
MML INVESTORS SERVICES, LLC
July 30, 1998 - July 19, 1999
IDS LIFE INSURANCE COMPANY
July 30, 1998 - July 19, 1999
AMERIPRISE FINANCIAL SERVICES, 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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
