Helen A. Roy
Professional summary
Helen Antoinette Roy was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Helen is a previously registered financial professional and started their career in finance in 1962. Prior to being barred, Helen had worked at 3 firms, which includes PENN CAPITAL FINANCIAL SERVICES INC., NATIONWIDE INVESTMENT SERVICES CORPORATION, FINANCIAL ESTATE PLANNING INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 1991 - September 20, 1995
PENN CAPITAL FINANCIAL SERVICES, INC.
March 29, 1982 - June 2, 1982
NATIONWIDE INVESTMENT SERVICES CORPORATION
July 19, 1962 - March 7, 1991
FINANCIAL ESTATE PLANNING, INC.
State Registrations and Notice Filings
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Exams
Series 1
Date: 7/19/1962
Registered Representative ExaminationCurrent Firm
PENN CAPITAL FINANCIAL SERVICES, INC.
CRD#: 10640 / SEC#: , 8-28011
Contact information
Documents
Red Flags
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