Thomas E. Roy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Edward Roy, who also goes by Tom Roy, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1977. Thomas had worked at 12 firms and has passed the Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2013 - December 31, 2014
NATIONWIDE SECURITIES, LLC
April 23, 2010 - April 26, 2013
NEW ENGLAND SECURITIES
April 23, 2010 - April 26, 2013
NEW ENGLAND SECURITIES
October 19, 2004 - April 8, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 24, 2000 - January 28, 2003
FIFTH THIRD SECURITIES, INC.
September 24, 1997 - April 10, 2000
THE O.N. EQUITY SALES COMPANY
November 8, 1996 - September 19, 1997
BERKSHIRE EQUITY SALES, INC.
April 20, 1994 - September 26, 1996
VOYA FINANCIAL ADVISORS, INC.
November 12, 1992 - May 13, 1997
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
November 29, 1989 - June 11, 1992
VOYA FINANCIAL ADVISORS, INC.
October 14, 1988 - August 16, 1989
TRAUB AND COMPANY, INC.
January 1, 1988 - September 7, 1988
LOCUST STREET SECURITIES, INC.
April 3, 1987 - December 22, 1987
THE O.N. EQUITY SALES COMPANY
February 20, 1985 - December 8, 1987
PRINCIPAL SECURITIES, INC.
June 7, 1977 - June 28, 1984
NEW ENGLAND SECURITIES
January 18, 1977 - July 13, 1977
LINSCO FINANCIAL GROUP, INC.
Primary Firm SEC Registration
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 1/14/1977
Registered Representative ExaminationCurrent Firm
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NFS DISTRIBUTORS, INC. | MANAGING MEMBER | |
| ANIANO, JOSEPH NICHOLAS | PRESIDENT | 4303290 |
| GINNAN, STEVEN A. | BOARD MANAGER | 6984613 |
| JESTICE, KEVIN THOMAS | BOARD MANAGER | 5363377 |
| RABENSTINE, JAMES JAY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2025566 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
| STEVENSON, ERIC RAY | BOARD MANAGER | 5250338 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
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.
