Roy H. Seay
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 H. Seay, who also goes by Roy H Seay Jr, Roy Herbert Seay Jr, Jr Roy Seay Jr. Jr, Roy H Seay Jr. Jr, was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1969. Roy had worked at 5 firms and has passed the Series 65, Series 63, Series 5, PC, Series 1, Series 41, Series 4 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
January 25, 2011 - July 10, 2013
RAYMOND JAMES & ASSOCIATES, INC.
January 25, 2011 - July 10, 2013
RAYMOND JAMES & ASSOCIATES, INC.
August 14, 2000 - January 31, 2011
UBS FINANCIAL SERVICES INC.
August 12, 2000 - January 31, 2011
UBS FINANCIAL SERVICES INC.
April 28, 1980 - August 14, 2000
J.C. BRADFORD & CO.
August 18, 1977 - April 28, 1980
FROST, JOHNSON, READ & SMITH, INC.
February 26, 1969 - August 18, 1977
FROST, JOHNSON, READ & SMITH, INCORPORATED
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
Series 5
Date: 2/24/1982
Interest Rate Options ExaminationPC
Date: 4/28/1980
AMEX Put and Call ExamSeries 1
Date: 2/19/1969
Registered Representative ExaminationSeries 41
Date: 5/1/1959
NYSE Allied Member ExaminationSeries 40
Date: 1/25/1978
Registered Principal ExaminationCurrent Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
