William J. Royea

LPR CAPITAL

Pasadena, CA 91101-4766

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CRD#: 5025461

Professional summary

William Joseph Royea is a registered financial advisor currently at LPR CAPITAL, INC. located in Pasadena, California.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. William has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

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.

ROYEA IS CURRENTLY PRESIDENT OF NEXT DIMENSION TECHNOLOGIES, INC. (NDT), LOCATED AT 1 WEST MOUNTAIN STREET, #11, PASADENA, CA 91103. NDT IS A NON INVESTMENT-RELATED BUSINESS THAT DEVELOPS CLINICAL DIAGNOSTICS. ROYEA SPENDS APPROXIMATELY 8 HOURS PER WEEK MANAGING NDT BUSINESS, NONE OF WHICH ARE SPENT DURING SECURITIES TRADING HOURS. ROYEA'S DUTIES AT NDT INVOLVE TECHNICAL MANAGEMENT OF RESEARCH AND DEVELOPMENT ACTIVITIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Joseph Royea'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®

None

Experience

Current

November 20, 2015 - Present

LPR CAPITAL, INC.

Office #1: 180 South Lake Avenue Suite 520, Pasadena, CA 91101-4766

RIA

CRD#: 111580

Pasadena, CA

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

California
(11/20/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/28/2014

Uniform Investment Adviser Law Examination

Current Firm

LPR CAPITAL, INC.

COMPU/FUND, INC. | LPR CAPITAL, INC.

CRD#: 111580 / SEC#: 801-57328

RIA

Registered Investment Advisory firm - (3/16/2006 Terminated)

California

Registered Investment Advisory firm - (3/15/2006 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

180 South Lake Avenue Suite 520, Pasadena, CA 91101-4766

Mailing Address

Phone number

(626) 793-8412

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	56
AUM (Assets Under Management)	$ 39,112,642

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.

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William J. Royea

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Joseph Royea's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPR CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/28/2014

Current Firm

LPR CAPITAL, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LPR CAPITAL, INC.

TRUST BUT VERIFY

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