Charles M. Royce

ROYCE INVESTMENT PARTNERS

New York, NY 10151

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CRD#: 406314

Professional summary

Charles Morgan Royce is a registered financial advisor currently at ROYCE INVESTMENT PARTNERS located in New York, New York.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1967. Charles has worked at 2 firms and has passed the Series 1 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Charles Morgan Royce's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

November 4, 2002 - Present

ROYCE INVESTMENT PARTNERS

Office #1: 745 Fifth Avenue 15th Floor, New York, NY 10151

RIA

CRD#: 107689

New York, NY

Past

June 9, 1967 - June 22, 1973

BROOKDALE SECURITIES CORPORATI ON

CRD#: 746

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ROYCE INVESTMENT PARTNERS

ROYCE & ASSOCIATES, INC. | ROYCE INVESTMENT PARTNERS | ROYCE & ASSOCIATES, LP | ROYCE & ASSOCIATES, LLC

CRD#: 107689 / SEC#: 801-8268

RIA

Registered Investment Advisory firm - (12/14/1971 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(11/4/2002)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 1

Date: 11/20/1964

Registered Representative Examination

Principal/Supervisory Exam

Series 40

Date: 6/1/1967

Registered Principal Examination

Current Firm

ROYCE INVESTMENT PARTNERS

ROYCE & ASSOCIATES, INC. | ROYCE INVESTMENT PARTNERS | ROYCE & ASSOCIATES, LP | ROYCE & ASSOCIATES, LLC

CRD#: 107689 / SEC#: 801-8268

RIA

Registered Investment Advisory firm - (12/14/1971 Approved)

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Contact information

Main Address

One Madison Avenue, New York, NY 10010

Mailing Address

Phone number

(212) 508-4500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROYCE INVESTMENT PARTNERS ADV PART 2A (12/20/2024)

FTPPG BROCHURE DATED DECEMBER 6, 2024 (12/20/2024)

Regulatory assets under management

Total Number of Accounts	940
AUM (Assets Under Management)	$ 12,728,759,787

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Charles M. Royce

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Morgan Royce's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROYCE INVESTMENT PARTNERS

BROOKDALE SECURITIES CORPORATI ON

Primary Firm SEC Registration

ROYCE INVESTMENT PARTNERS

State Registrations and Notice Filings

Exams

Series 1

Date: 11/20/1964

Series 40

Date: 6/1/1967

Current Firm

ROYCE INVESTMENT PARTNERS

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROYCE INVESTMENT PARTNERS

TRUST BUT VERIFY

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