RH
Roy S. Hamilton
SAGEVIEW ADVISORY GROUP
Irving, TX 75062
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CRD#: 7667267
RH
Professional summary
Roy Scott Hamilton Jr., who also goes by Roy Scott Hamilton, is a registered financial advisor currently at SAGEVIEW ADVISORY GROUP, LLC located in Irving, Texas and CETERA WEALTH SERVICES, LLC located in Irving, Texas.
Roy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Roy has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Roy Scott Hamilton
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 OTHER BUSINESS: SAGEVIEW ADVISORY GROUP, LLC - CRD # 126777; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: REGISTERED INVESTMENT ADVISER; START DATE: 03/2024; POSITION/TITLE/RELATIONSHIP: ASSOCIATE WEALTH ADVISOR / INVESTMENT ADVISOR REPRESENTATIVE; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVISOR WITH SAGEVIEW ADVISORY; 2. NAME OF OTHER BUSINESS: SAGEVIEW ADVISORY; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: WEALTH MANAGEMENT / SECURITIES DBA; START DATE: 03/2024; POSITION/TITLE/RELATIONSHIP: ASSOCIATE WEALTH ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: ASSIST CLIENT WITH WEALTH MANAGEMENT SOLUTIONS;
CRS (Client Relationship Summary) - RIA
Click below to view Roy Scott Hamilton Jr.'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
April 30, 2024 - Present
SAGEVIEW ADVISORY GROUP, LLC
Office #1: 201 E John W Carpenter Fwy Suite 400, Irving, TX 75062RIA
CRD#: 126777
Irving, TX
Current
October 31, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: Mandalay Towers 3 201 E John Carpenter Fwy Ste 400, Irving, TX 75062BD
CRD#: 13572
Irving, TX
Past
April 13, 2023 - February 13, 2024
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
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".
SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS
CRD#: 126777 / SEC#: 801-64265
RIA
Registered Investment Advisory firm - (5/31/2005 Approved)California
Registered Investment Advisory firm - (6/7/2005 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
California(5/2/2024)
IAR
Texas(4/30/2024)
RR
Texas(10/31/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/13/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS
CRD#: 126777 / SEC#: 801-64265
RIA
Registered Investment Advisory firm - (5/31/2005 Approved)California
Registered Investment Advisory firm - (6/7/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660
Mailing Address
Phone number
(800) 814-8742
Established
Firm type
Fiscal year end
# of Employees
248
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,295 |
| AUM (Assets Under Management) | $ 238,552,018,915 |
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.
