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RE

Roy F. Edwards

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CRD#: 4298924
RE

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 Ferron Edwards was a registered financial professional .

Roy is a previously registered financial professional and started their career in finance in 2000. Roy had worked at 2 firms and has passed the Series 66, SIE 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

August 22, 2006 - February 9, 2016

ALLEN & COMPANY OF FLORIDA, LLC

RIA
CRD#: 25
LAKELAND, FL
Past

September 16, 2002 - February 9, 2016

ALLEN & COMPANY OF FLORIDA, LLC

BD
CRD#: 25
LAKELAND, FL
Past

December 22, 2000 - September 20, 2002

TRUIST INVESTMENT SERVICES, INC.

RIA
CRD#: 17499
MULBERRY, FL
Past

December 21, 2000 - September 20, 2002

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
ATLANTA, GA

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
IAR
Series 66
Date: 5/1/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/9/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/2000
General Securities Representative Examination

Current Firm

A&
ALLEN & COMPANY OF FLORIDA, LLC
ALLEN & COMPANY | ALLEN & COMPANY OF FLORIDA, LLC | ALLEN & COMPANY OF FLORIDA, INC.

CRD#: 25 / SEC#: 801-57874, 8-9877

BD
Terminated by SEC on 02/11/2020
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Contact information

Main Address
1401 South Florida Ave, Lakeland, FL 33803
Mailing Address
Phone number
Established
Delaware since 10/11/2019
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ALLEN & COMPANY FIRM BROCHURE (3/31/2021)

Direct owners and executive officers

NamePositionCRD#
LPL EMPLOYEE SERVICES LLCMANAGING MEMBER
WALKER, MICHAEL NEILLVICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER & CHIEF FINANCIAL OFFICER2960002
ZITZELBERGER, CAROL MANNINGVICE PRESIDENT, CHIEF COMPLIANCE OFFICER1741455

Disclosures

Regulatory Event4

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

ALLEN & COMPANY OF FLORIDA, LLC

CRD#: 25

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