Michael J. Roy

ZACKS INVESTMENT MANAGEMENT

Tiburon, CA

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CRD#: 5889927

Professional summary

Michael John Roy is a registered financial advisor currently at ZACKS INVESTMENT MANAGEMENT, INC. located in Tiburon, California.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Michael has worked at 3 firms and has passed the Series 65 exam.

Question & Answer

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.

Renting out my Florida residence located at 843 Claremore Drive, West Palm Beach, Florida 33401

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John 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®

None

Experience

Current

September 23, 2025 - Present

ZACKS INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 110897

Tiburon, CA

Past

May 23, 2023 - January 26, 2024

CANTER WEALTH

RIA

CRD#: 167828

LA JOLLA, CA

Past

March 14, 2011 - January 25, 2023

FISHER INVESTMENTS

RIA

CRD#: 107342

WEST PALM BEACH, FL

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".

ZACKS INVESTMENT MANAGEMENT, INC.

CRD#: 110897 / SEC#: 801-40592

RIA

Registered Investment Advisory firm - (1/17/1992 Approved)

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

California
(9/23/2025)

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 65

Date: 3/11/2011

Uniform Investment Adviser Law Examination

Current Firm

ZACKS INVESTMENT MANAGEMENT, INC.

CRD#: 110897 / SEC#: 801-40592

RIA

Registered Investment Advisory firm - (1/17/1992 Approved)

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Contact information

Main Address

101 N. Wacker Drive Suite 1500, Chicago, IL 60606

Mailing Address

Phone number

(312) 265-9266

Established

Firm type

Fiscal year end

# of Employees

122

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ZACKS ADV PART 2 & APPENDIX 1 05 2025 (5/29/2025)

Regulatory assets under management

Total Number of Accounts	12,050
AUM (Assets Under Management)	$ 12,414,372,511

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.

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Michael J. Roy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Roy's CRS (Customer Relationship Summary).

Certified licenses

Experience

ZACKS INVESTMENT MANAGEMENT, INC.

CANTER WEALTH

FISHER INVESTMENTS

Primary Firm SEC Registration

ZACKS INVESTMENT MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/11/2011

Current Firm

ZACKS INVESTMENT MANAGEMENT, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ZACKS INVESTMENT MANAGEMENT, INC.

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