Ladislaus H. 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.
Ladislaus H Roy, who also goes by Laddie Roy, was a registered financial professional .
Ladislaus is a previously registered financial professional and started their career in finance in 2007. Ladislaus had worked at 2 firms and has passed the Series 63, Series 7TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2019 - April 10, 2019
LEE FINANCIAL SECURITIES, INC.
January 1, 2007 - July 23, 2008
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Exams
Series 7TO
Date: 2/28/2019
General Securities Representative ExaminationCurrent Firm
LEE FINANCIAL SECURITIES, INC.
CRD#: 23134 / SEC#: , 8-40219
Contact information
Documents
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.
