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WR

Wayne T. Roys

Some features on this profile are disabled
CRD#: 4019076
WR

Professional summary

Wayne Timothy Roys was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Wayne Timothy Roys was a registered financial advisor .

Wayne is a previously registered financial advisor and started their career in finance in 1999. Wayne had worked at 8 firms and has passed the Series 63, Series 65, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 18, 2013 - March 4, 2014

FIRST NATIONAL CAPITAL MARKETS

RIA
CRD#: 115920
FORT COLLINS, CO
Past

December 18, 2013 - March 4, 2014

FIRST NATIONAL CAPITAL MARKETS

BD
CRD#: 115920
FORT COLLINS, CO
Past

September 18, 2012 - December 16, 2013

KEY INVESTMENT SERVICES LLC

RIA
CRD#: 136300
FORT COLLINS, CO
Past

September 18, 2012 - December 16, 2013

KEY INVESTMENT SERVICES LLC

BD
CRD#: 136300
FORT COLLINS, CO
Past

October 21, 2011 - September 20, 2012

LPL FINANCIAL LLC

RIA
CRD#: 6413
WINDSOR, CO
Past

October 21, 2011 - September 20, 2012

LPL FINANCIAL LLC

BD
CRD#: 6413
WINDSOR, CO
Past

August 2, 2011 - September 29, 2011

U.S. BANCORP INVESTMENTS, INC.

RIA
CRD#: 17868
LOVELAND, CO
Past

August 2, 2011 - September 29, 2011

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
LOVELAND, CO
Past

August 12, 2009 - August 3, 2011

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
BOULDER, CO
Past

August 12, 2009 - August 3, 2011

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
BOULDER, CO
Past

June 1, 2009 - August 14, 2009

MORGAN STANLEY

RIA
CRD#: 149777
DENVER, CO
Past

June 1, 2009 - August 14, 2009

MORGAN STANLEY

BD
CRD#: 149777
DENVER, CO
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
DENVER, CO
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
DENVER, CO
Past

March 23, 2001 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
CENTENNIAL, CO
Past

November 30, 1999 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
CENTENNIAL, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/3/2000
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/3/1999
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 31
Date: 12/10/1999
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 11/29/1999
General Securities Representative Examination

Current Firm

FN
FIRST NATIONAL CAPITAL MARKETS
FIRST NATIONAL BANK SOUTH DAKOTA INVESTMENTS AND PLANNING | SHELBY COUNTY INVESTMENT CENTER | PLATTE VALLEY INVESTMENTS AND PLANNING | FREMONT NATIONAL INVESTMENTS AND PLANNING | FIRST NATIONAL WEALTH MANAGEMENT | FIRST NATIONAL WEALTH ADVISORS | FIRST NATIONAL NORTH PLATTE INVESETMENTS AND PLANNING | FIRST NATIONAL INVESTMENTS & PLANNING | FIRST NATIONAL INVESTMENT BANKING | FIRST NATIONAL CAPITAL MARKETS, INC. | FIRST NATIONAL CAPITAL MARKETS

CRD#: 115920 / SEC#: 801-71101, 8-53514

BD
Terminated by SEC on 02/20/2024
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Contact information

Main Address
1620 Dodge Street Stop 1104, Omaha, NE 68197
Mailing Address
Phone number
Established
Nebraska since 07/27/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

FIRST NATIONAL CAPITAL MARKETS (6/25/2015)

Direct owners and executive officers

NamePositionCRD#
FIRST NATIONAL INVESTMENT BANKING, INC.DIRECT OWNER
RICHTER, CHARLES HENRYCHIEF COMPLIANCE OFFICER1839310

Disclosures

Regulatory Event2

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

FIRST NATIONAL CAPITAL MARKETS

CRD#: 115920

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