Alexandra B. 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.
Alexandra B Roy, who also goes by Alexandra Blair Roy, Alexandra Roy, was a registered financial professional .
Alexandra is a previously registered financial professional and started their career in finance in 2011. Alexandra had worked at 8 firms and has passed the Series 66, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2021 - May 25, 2023
SOLEBURY CAPITAL LLC
September 24, 2019 - August 24, 2020
MORGAN STANLEY
May 10, 2018 - June 4, 2019
WELLINGTON FUNDS DISTRIBUTORS INC.
June 26, 2014 - October 25, 2016
BLACKROCK INVESTMENT MANAGEMENT, LLC
June 24, 2014 - October 25, 2016
BLACKROCK INVESTMENTS, LLC
September 26, 2012 - June 17, 2014
GOLDMAN SACHS WEALTH SERVICES, L.P.
September 26, 2012 - June 17, 2014
MERCER ALLIED COMPANY, L.P.
August 9, 2011 - September 27, 2012
GOLDMAN SACHS & CO. LLC
May 2, 2011 - August 11, 2011
MERCER ALLIED COMPANY, L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 12/31/2021
Investment Banking Registered Representative ExaminationCurrent Firm
SOLEBURY CAPITAL LLC
CRD#: 143299 / SEC#: , 8-67548
Contact information
FINRA licenses (8 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK, NATIONAL ASSOCIATION | PARENT | |
| COHN, VICTOR ALLAN | CHAIRMAN, CHIEF OPERATING OFFICER | 808136 |
| EARLING, DAVID CRISTOFORI | MANAGING DIRECTOR | 2534818 |
| HATFIELD, EDWARD RIDGWAY | CHIEF EXECUTIVE OFFICER | 1781580 |
| IM, YOULREE | CHIEF ADMINISTRATIVE OFFICER | 5195473 |
| JACOBY, MATTHEW R | CHIEF COMPLIANCE OFFICER | 5720650 |
| LONG, GEORGE PHILLIP MR. | CHIEF LEGAL OFFICER | 5094038 |
| ROHALY, JEFFREY P | FINANCIAL OPERATIONS PRINCIPAL, PFO, POO | 4588188 |
| WILLIAMS, JULIE | VICE PRESIDENT | 6040587 |
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.
