SR
Steven M. Roy
SIMPLYRIA ADVISOR NETWORK
LONGBOAT KEY, FL
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CRD#: 4601095
SR
Steven Michael RoySIMPLYRIA ADVISOR NETWORK
Professional summary
Steven Michael Roy is a registered financial advisor currently at SIMPLYRIA ADVISOR NETWORK located in Longboat Key, Florida.
Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Steven has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
At a Glance
Always Fiduciary
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.
Independent Insurance Agent; Investment Related; 2045 Gulf of Mexico Dr., UNIT 405, Longboat Key, FL 34228; Fixed Business Sales; Insurance Producer; Agent: Started 08/2016; 1 Hour per month; 1 Hour During Trading Hours; Insurance Product Sales, annuities and life insurance strategies.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Michael Roy's 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®
NoneExperience
Current
August 22, 2016 - Present
SIMPLYRIA ADVISOR NETWORK
RIA
CRD#: 154494
LONGBOAT KEY, FL
Past
February 9, 2011 - August 22, 2016
FOUNDERS FINANCIAL SECURITIES LLC
RIA
CRD#: 137945
Grand Blanc, MI
Past
September 1, 2010 - August 22, 2016
FOUNDERS FINANCIAL SECURITIES LLC
BD
CRD#: 137945
Grand Blanc, MI
Past
November 9, 2007 - June 30, 2010
CFD INVESTMENTS, INC.
BD
CRD#: 25427
FLINT, MI
Past
November 19, 2002 - October 24, 2007
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
FLINT, MI
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".
SA
SIMPLYRIA ADVISOR NETWORK
A SMARTER WAY TO INVEST, INC | STOCK SENIOR SERVICES | SIMPLYRIA ADVISOR NETWORK | SIMPLY RIA, INC | SCOTT KARL ECONOMIC AND INSURANCE SERVICES | ROYAL PALM PRIVATE WEALTH MANAGEMENT | PRIVATE FINANCIAL COUNSEL, LLC. | PRIVATE FINANCIAL COUNSEL | PFC | PALADIN FINANCIAL SERVICES, LLC | OUTRIDER WEALTH AND FINANCIAL PLANNING | OLIVIA WEALTH MANAGEMENT LLC | MSM ELITE MARKETING, INC | MONEY STRATEGIES OF MICHIGAN, INC | MONEY STRATEGIES OF MICHIGAN | MENACH CAPITAL, LLC | KIS FINANCIAL, LLC | KIS FINANCIAL | KINGSBURY FINANCIAL ADVISORS | INVESTWISE WEALTH MANAGEMENT INC. | IMAGINE ADVISORS, LLC | FRANK THE FINANCIAL COACH LLC | FORMULA FOLIOS PRESTIGE, LLC | FAVRE WEALTH MANAGEMENT LLC | DAVY WEALTH MANAGEMENT | COLLEGE PLANNING FRESNO | CJ INSTITUTIONAL | CJ | CAITLIN JOHN, LLC | CAITLIN JOHN PRIVATE WEALTH MANAGEMENT | CAITLIN JOHN | BRIGGS FINANCIAL GROUP, LLC | BRIGGS FINANCIAL GROUP WEALTH ADVISORS | BRIDGEWISE FINANCIAL PARTNERS LLC | BRIDGEWISE FINANCIAL PARTNERS | BFG WEALTH ADVISORS | BFG | BASTION WEALTH MANAGEMENT LLC | ASPEN PRIVATE WEALTH MANAGEMENT | ALIGNMENT FINANCIAL PLANNING, LLC
CRD#: 154494 / SEC#: 801-110731
RIA
Registered Investment Advisory firm - (6/26/2017 Approved)California
Registered Investment Advisory firm - (10/1/2017 Terminated)Florida
Registered Investment Advisory firm - (9/1/2017 Terminated)Georgia
Registered Investment Advisory firm - (9/1/2017 Terminated)Illinois
Registered Investment Advisory firm - (6/26/2017 Terminated)Indiana
Registered Investment Advisory firm - (9/1/2017 Terminated)Kentucky
Registered Investment Advisory firm - (9/5/2017 Terminated)Michigan
Registered Investment Advisory firm - (9/29/2017 Terminated)New Jersey
Registered Investment Advisory firm - (9/1/2017 Terminated)North Carolina
Registered Investment Advisory firm - (9/5/2017 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/6/2017 Terminated)Tennessee
Registered Investment Advisory firm - (9/5/2017 Terminated)Virginia
Registered Investment Advisory firm - (9/5/2017 Terminated)Wisconsin
Registered Investment Advisory firm - (9/5/2017 Terminated)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
Florida(3/29/2022)
IAR
Michigan(8/22/2016)
Exams
What does exam status mean?
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
PR
Series 6
Passed: 11/18/2002
Investment Company Products/Variable Contracts Representative Examination
Current Firm
SA
SIMPLYRIA ADVISOR NETWORK
A SMARTER WAY TO INVEST, INC | STOCK SENIOR SERVICES | SIMPLYRIA ADVISOR NETWORK | SIMPLY RIA, INC | SCOTT KARL ECONOMIC AND INSURANCE SERVICES | ROYAL PALM PRIVATE WEALTH MANAGEMENT | PRIVATE FINANCIAL COUNSEL, LLC. | PRIVATE FINANCIAL COUNSEL | PFC | PALADIN FINANCIAL SERVICES, LLC | OUTRIDER WEALTH AND FINANCIAL PLANNING | OLIVIA WEALTH MANAGEMENT LLC | MSM ELITE MARKETING, INC | MONEY STRATEGIES OF MICHIGAN, INC | MONEY STRATEGIES OF MICHIGAN | MENACH CAPITAL, LLC | KIS FINANCIAL, LLC | KIS FINANCIAL | KINGSBURY FINANCIAL ADVISORS | INVESTWISE WEALTH MANAGEMENT INC. | IMAGINE ADVISORS, LLC | FRANK THE FINANCIAL COACH LLC | FORMULA FOLIOS PRESTIGE, LLC | FAVRE WEALTH MANAGEMENT LLC | DAVY WEALTH MANAGEMENT | COLLEGE PLANNING FRESNO | CJ INSTITUTIONAL | CJ | CAITLIN JOHN, LLC | CAITLIN JOHN PRIVATE WEALTH MANAGEMENT | CAITLIN JOHN | BRIGGS FINANCIAL GROUP, LLC | BRIGGS FINANCIAL GROUP WEALTH ADVISORS | BRIDGEWISE FINANCIAL PARTNERS LLC | BRIDGEWISE FINANCIAL PARTNERS | BFG WEALTH ADVISORS | BFG | BASTION WEALTH MANAGEMENT LLC | ASPEN PRIVATE WEALTH MANAGEMENT | ALIGNMENT FINANCIAL PLANNING, LLC
CRD#: 154494 / SEC#: 801-110731
RIA
Registered Investment Advisory firm - (6/26/2017 Approved)California
Registered Investment Advisory firm - (10/1/2017 Terminated)Florida
Registered Investment Advisory firm - (9/1/2017 Terminated)Georgia
Registered Investment Advisory firm - (9/1/2017 Terminated)Illinois
Registered Investment Advisory firm - (6/26/2017 Terminated)Indiana
Registered Investment Advisory firm - (9/1/2017 Terminated)Kentucky
Registered Investment Advisory firm - (9/5/2017 Terminated)Michigan
Registered Investment Advisory firm - (9/29/2017 Terminated)New Jersey
Registered Investment Advisory firm - (9/1/2017 Terminated)North Carolina
Registered Investment Advisory firm - (9/5/2017 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/6/2017 Terminated)Tennessee
Registered Investment Advisory firm - (9/5/2017 Terminated)Virginia
Registered Investment Advisory firm - (9/5/2017 Terminated)Wisconsin
Registered Investment Advisory firm - (9/5/2017 Terminated)Loading...
Contact information
Main Address
1024 E. Grand River Ave Suite B, Brighton, MI 48116
Mailing Address
Phone number
(810) 355-1325
Established
Firm type
Fiscal year end
# of Employees
29
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,158 |
| AUM (Assets Under Management) | $ 214,892,486 |
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.
