Russell L. Roy
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.
Russell Leon Roy, who also goes by Russel Leon Roy, was a registered financial professional .
Russell is a previously registered financial professional and started their career in finance in 2005. Russell had worked at 1 firm and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2005 - June 4, 2013
EMPLOYEE BENEFITS INVESTMENT GROUP, INC.
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
Current Firm
EMPLOYEE BENEFITS INVESTMENT GROUP, INC.
CRD#: 104237 / SEC#: , 8-52699
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRONCOSO, ARTHUR BONIFICIO JR | CCO/CHEIF COMPLIANCE OFFICER | 2922193 |
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.
