Roy Tahajian Jr.
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 Tahajian Jr., who also goes by Roy Tahajian Jr, was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1972. Roy had worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2009 - February 3, 2015
LPL FINANCIAL LLC
March 13, 2009 - February 3, 2015
LPL FINANCIAL LLC
July 8, 1997 - March 26, 2009
UBS FINANCIAL SERVICES INC.
August 19, 1991 - March 26, 2009
UBS FINANCIAL SERVICES INC.
July 25, 1991 - August 16, 1991
UBS FINANCIAL SERVICES INC.
May 14, 1990 - July 26, 1991
SPELMAN & CO., INC.
March 30, 1990 - May 11, 1990
FIRST AFFILIATED SECURITIES
October 3, 1988 - April 3, 1990
DOMINICK & DICKERMAN LLC
September 9, 1988 - October 3, 1988
DOMIK CORP.
December 4, 1986 - August 30, 1988
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
March 14, 1985 - October 2, 1986
LEHMAN BROTHERS INC.
May 3, 1982 - March 6, 1985
CROWELL, WEEDON & CO.
February 24, 1978 - June 24, 1981
MORGAN STANLEY DW INC.
January 3, 1977 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
December 8, 1972 - August 20, 1973
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 1
Date: 11/27/1972
Registered Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
