Nicholas R. Roy

SOMNIO FINANCIAL GROUP

GLASTONBURY, CT 06033

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CRD#: 5074653

Professional summary

Nicholas Raymond Roy, CFP® is a registered financial advisor currently at SOMNIO FINANCIAL GROUP, LLC located in Glastonbury, Connecticut.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Nicholas has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Biography

While some advisors remain stuck in old ways, Somnio is constantly in motion. Relentlessly learning. Moving at the speed of the financial world and at the pace of your life. So you know someone’s always thinking about you. Someone’s always on it. Helping you feel confident, optimistic about your future. Helping you sleep at night. Helping you enjoy your life.

Question & Answer

What are your service offerings?

Investment Planning

Social Security Planning

Comprehensive Financial Planni...

Retirement Planning

Retirement Income Management

Estate Planning

Employee and Employer Plan Ben...

Education Planning

Do you have an area of expertise or specialization?

College/Education Planning

Estate & Generational Planning...

High Net Worth Client Needs

Investment Advice with Ongoing...

Retirement Planning & Distribu...

Tax Planning

What is your minimum asset requirement?

500K

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Raymond Roy's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2010

Experience

Current

April 24, 2015 - Present

SOMNIO FINANCIAL GROUP, LLC

Office #1: 140 Glastonbury Blvd Suite 450, Glastonbury, CT 06033

RIA

CRD#: 174217

GLASTONBURY, CT

Past

January 28, 2009 - April 14, 2015

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

GLASTONBURY, CT

Past

January 28, 2009 - August 28, 2015

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

GLASTONBURY, CT

Past

April 17, 2006 - January 29, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

EAST HARTFORD, CT

Past

March 2, 2006 - January 29, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

EAST HARTFORD, CT

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".

SOMNIO FINANCIAL GROUP, LLC

CRD#: 174217 / SEC#: 801-129727

RIA

Registered Investment Advisory firm - (3/21/2024 Approved)

Connecticut

Registered Investment Advisory firm - (4/4/2024 Terminated)

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).

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

Connecticut
(4/24/2015)

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 66

Date: 4/14/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/28/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/1/2006

General Securities Representative Examination

Current Firm

SOMNIO FINANCIAL GROUP, LLC

CRD#: 174217 / SEC#: 801-129727

RIA

Registered Investment Advisory firm - (3/21/2024 Approved)

Connecticut

Registered Investment Advisory firm - (4/4/2024 Terminated)

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Contact information

Main Address

140 Glastonbury Blvd Suite 450, Glastonbury, CT 06033

Mailing Address

Phone number

(860) 430-5500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A/2B - SEC (1/14/2025)

Regulatory assets under management

Total Number of Accounts	453
AUM (Assets Under Management)	$ 137,800,000

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.

Contact information

(xxx) xxx-xxxx

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Advisor Monitoring

Firm Stability Insights

Nicholas R. Roy

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Raymond Roy's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

SOMNIO FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/14/2006

SIE

Date: 8/28/2015

Series 7

Date: 3/1/2006

Current Firm

SOMNIO FINANCIAL GROUP, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOMNIO FINANCIAL GROUP, LLC

TRUST BUT VERIFY

Contact information

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