Ladislaus H Roy
Professional Summary
Ladislaus H Roy, who also goes by Laddie Roy, was a registered financial advisor. Ladislaus was a previously registered financial professional and started their career in finance 2007 - 2019. Ladislaus had worked at 2 firms and has passed the Series 63, Series 7TO, SIE, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Laddie Roy
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
19 years in the financial services industry
Current & Past Employments
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Current Firm
FIRST PACIFIC MUTUAL FUND SERVICES, INC. | LEE FINANCIAL SECURITIES, INC. | FIRST PACIFIC SECURITIES, INC.
Contact Information
Established
Hawaii since 05/13/1988Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallDocuments
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 2006About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jun 2007About the Series 26 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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