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Roy Hsu

Roy Hsu

EVOKE FINANCIAL SERVICES
SEATTLE, WA
·CRD# 6930529·8 years experience

Professional Summary

Roy Hsu, who also goes by Roy Shih-lung Hsu, is a registered financial advisor currently at EVOKE FINANCIAL SERVICES, LLC located in Seattle, Washington. Roy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Roy has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Roy Shih-Lung Hsu

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

Direct

(xxx) xxx-xxxx

Website

xxxxxxxxxx.xxx

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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.

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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Years of Experience

8 years in the financial services industry

Current & Past Employments

EVOKE FINANCIAL SERVICES, LLC·CRD# 330459
RIA
Seattle, WA
June 26, 2024 - Present
EDWARD JONES·CRD# 250
RIA
Seattle, WA
June 15, 2018 - June 27, 2024
EDWARD JONES·CRD# 250
BD
Seattle, WA
May 23, 2018 - June 27, 2024

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Current Firm

EF
EVOKE FINANCIAL SERVICES, LLC

EVOKE FINANCIAL SERVICES, LLC | LEILUNA, LLC

CRD#: 330459
Washington
Registered Investment Advisory firm - Washington (6/26/2024 Approved)

Contact Information

Main Address

Seattle, WA

Phone Number

(206) 207-7452

# of Employees

1

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

92

AUM (Assets Under Management)

$43,530,560

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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.

Landlord/owner of rental property. Type of business: Real Estate Rental Seattle, WA Start date: 7/1/2016 Landlord Hours per week: 0 Hours during trading: 0 Maintain Property Certified Exit Planning Advisor (CEPA) Type of Business: Business Consulting Start Date: 06/2024 Advisor Hours Per Week: 0 Hours During Trading: 0 Provide business consulting services The following are related to the RR's activities in connection with film and media production. He works in his personal capacity as a producer and also owns entities (Dragonary Ventures and Sparkle Dragon Holdings) that support and/or invest in these activities. There is no set amount of time for any of these, and work is generally performed outside of market hours. When required, however, the RR may need to spend substantial time at limited points during the production schedule. This may include in excess of 20 hours per week, including during market hurs. Information on time spent is provided in the aggregate for all the entities/activities: Dragonary Ventures, LLC Type of business: Film and media production company Seattle, WA Start date: 3/2023 Owner Hours per week: see earlier statement. Hours during trading: see earlier statement. Producer, writer and/or actor for film, television, and podcasts. Sparkle Dragon Holdings, LLC. Type of business: Film and media production company, Seattle, WA Start date: 11/2025. Co-Owner. Hours per week: see earlier statement. Hours during trading: see earlier statement. Producer, writer and/or actor for film, television, and podcasts.

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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.
IAR
Washington
(6/26/2024)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jun 2018About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed May 2018About the Series 7 exam

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CRS (Client Relationship Summary) - RIA

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

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