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RR

Roberto Roy

STOUT CAPITAL
CHICAGO, IL 60606
Some features on this profile are disabled
CRD#: 6185466
RR

Professional summary

Roberto Roy is a registered financial professional currently at STOUT CAPITAL, LLC located in Chicago, Illinois.

Roberto is registered as a RR (Registered Representative) and started their career in finance in 2013. Roberto has worked at 4 firms and has passed the SIE, Series 6 and Series 14 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roberto Roy's 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

March 31, 2023 - Present

STOUT CAPITAL, LLC

Office #1: 225 W. Randolph Street Suite 800, Chicago, IL 60606
BD
CRD#: 127302
CHICAGO, IL
Past

March 3, 2023 - March 8, 2023

ALLIANCE-ONE INVESTMENTS, LLC

BD
CRD#: 286025
TULSA, OK
Past

July 22, 2019 - August 4, 2022

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

July 26, 2013 - April 27, 2018

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
RIVERVIEW, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 4/27/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/26/2013
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 10/18/2025
Compliance Officer Examination
SRO Registrations
RR
FINRA

Current Firm

SC
STOUT CAPITAL, LLC
STOUT CAPITAL, LLC | STOUT RISIUS ROSS ADVISORS, LLC

CRD#: 127302 / SEC#: , 8-65979

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
150 West Second Street Suite 400, Royal Oak, MI 48067
Mailing Address
150 West Second Street Suite 400, Royal Oak, MI 48067
Phone number
(248) 208-8800
Established
Michigan since 05/15/2003
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (38 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
STOUT RISIUS ROSS, LLC100% OWNER OF STOUT CAPITAL, LLC
BARRESE, PAUL JOSEPHCHIEF COMPLIANCE OFFICER5131266
MANNING, KEVIN SCEO & PRESIDENT4700945
THIES, RYAN DAVIDFINOP5766932

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.

Company Information

STOUT CAPITAL, LLC

CRD#: 127302Chicago, IL 60606

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