Royce R. Suba
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.
Royce Roque Suba was a registered financial professional .
Royce is a previously registered financial professional and started their career in finance in 2007. Royce had worked at 4 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2017 - April 12, 2018
TCV
March 7, 2014 - March 2, 2015
MAKENA CAPITAL MANAGEMENT, LLC
February 21, 2013 - December 11, 2013
HALL CAPITAL PARTNERS LLC
May 8, 2007 - February 18, 2011
WHV INVESTMENTS, INC.
Primary Firm SEC Registration
TCV
CRD#: 160389 / SEC#: 801-73547
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
TCV
CRD#: 160389 / SEC#: 801-73547
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 31 |
| AUM (Assets Under Management) | $ 20,075,327,580 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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