Roy W. Reeves
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 Willard Reeves was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1963. Roy had worked at 8 firms and has passed the Series 63, PC, Series 1, Series 8 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2005 - September 28, 2005
KA ASSOCIATES, LLC
September 12, 2003 - April 16, 2019
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC
August 1, 2002 - June 14, 2005
VP DISTRIBUTORS LLC
November 8, 1993 - August 27, 2002
KA ASSOCIATES, LLC
January 29, 1991 - November 28, 1994
KAYNE, ANDERSON & CO., INC.
August 22, 1985 - May 4, 1989
THOMSON MCKINNON SECURITIES INC.
June 25, 1985 - July 31, 1985
PERSHING LLC
May 7, 1980 - October 29, 1984
CONTISECURITIES, INC.
April 26, 1963 - March 15, 1980
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 4/22/1963
Registered Representative ExaminationSeries 8
Date: 1/30/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 10/7/1971
Registered Principal ExaminationCurrent Firm
KA ASSOCIATES, LLC
CRD#: 32029 / SEC#: , 8-45640
Contact information
FINRA licenses (35 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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