Roy L. Piske

WSA AFFILIATES

League City, TX

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CRD#: 6990135

Professional summary

Roy Lee Piske, who also goes by Roy Lee Piske Mr., Roy Piske, is a registered financial advisor currently at WSA AFFILIATES, LLC located in League City, Texas.

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Roy Lee Piske Mr. | Roy Piske

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.

I work in ground operations for Southwest Airlines. This is not an investment related position. Started 3/1981. 160 hrs/month, approximately 80 hrs/month during market hours. I service aircraft while they are on the ground.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy Lee Piske'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 12, 2020 - Present

WSA AFFILIATES, LLC

RIA

CRD#: 144108

League City, TX

Past

October 10, 2019 - February 12, 2020

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

DALLAS, TX

Past

August 21, 2018 - February 12, 2020

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

DALLAS, TX

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

Texas
(3/12/2020)

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 66

Date: 9/25/2019

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/21/2018

General Securities Representative Examination

Current Firm

WSA AFFILIATES, LLC

WEALTH SERVICES ALLIANCE | WSA AFFILIATES, LLC

CRD#: 144108 / SEC#:

Connecticut

Registered Investment Advisory firm - (6/18/2012 Approved)

New York

Registered Investment Advisory firm - (7/20/2016 Approved)

Oklahoma

Registered Investment Advisory firm - (3/26/2025 Terminated)

Texas

Registered Investment Advisory firm - (2/25/2008 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

10000 North Central Expressway Suite 1326, Dallas, TX 75231

Mailing Address

Phone number

(214) 234-7695

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Firm Stability Insights

Roy L. Piske

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

WSA AFFILIATES, LLC

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/25/2019

SIE

Date: 10/1/2018

Series 7

Date: 8/21/2018

Current Firm

WSA AFFILIATES, LLC

Contact information

Documents

Red Flags

Company Information

WSA AFFILIATES, LLC

TRUST BUT VERIFY

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