NR
Naomi M. Roy
ROOT FINANCIAL PARTNERS
Denver, CO
Some features on this profile are disabled
CRD#: 7136329
NR
Professional summary
Naomi Monica Roy, who also goes by Naomi Roy, is a registered financial advisor currently at ROOT FINANCIAL PARTNERS located in Denver, Colorado.
Naomi is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Naomi has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Naomi Roy
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.
(1)Name of Business: Address: 49 Hobmoor Ave, Buffalo, NY, 14216, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 11/01/2020 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: maintenance of property, collecting rent payments (2)Name of Business: Crux Wealth Advisors Address: 5619 Dtc Pkwy Ste 800, Greenwood Village, CO, 80111-3139, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: Yes Start Date: 03/16/2022 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Relationship Manager based out of the Crux Wealth Advisors Greenwood Village location.
CRS (Client Relationship Summary) - RIA
Click below to view Naomi Monica 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®
NoneExperience
Current
October 10, 2024 - Present
ROOT FINANCIAL PARTNERS
RIA
CRD#: 290289
Denver, CO
Past
March 16, 2022 - July 30, 2024
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
Greenwood Village, CO
Past
March 16, 2022 - July 30, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
Greenwood Village, CO
Past
August 5, 2020 - March 17, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BUFFALO, NY
Past
January 13, 2020 - March 17, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BUFFALO, NY
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".
ROOT FINANCIAL PARTNERS
ROOT | ROOT FINANCIAL PARTNERS, LLC | ROOT FINANCIAL PARTNERS
CRD#: 290289 / SEC#: 801-125945
RIA
Registered Investment Advisory firm - (7/8/2022 Approved)California
Registered Investment Advisory firm - (8/11/2022 Terminated)Texas
Registered Investment Advisory firm - (7/12/2022 Terminated)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(10/10/2024)
IAR
Colorado(10/10/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/13/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
ROOT FINANCIAL PARTNERS
ROOT | ROOT FINANCIAL PARTNERS, LLC | ROOT FINANCIAL PARTNERS
CRD#: 290289 / SEC#: 801-125945
RIA
Registered Investment Advisory firm - (7/8/2022 Approved)California
Registered Investment Advisory firm - (8/11/2022 Terminated)Texas
Registered Investment Advisory firm - (7/12/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1106 2nd Street Suite 102, Encinitas, CA 92024
Mailing Address
Phone number
(760) 452-0720
Established
Firm type
Fiscal year end
# of Employees
40
SEC notice filing (25 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,597 |
| AUM (Assets Under Management) | $ 1,106,417,268 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
