Jeffrey Roy, financial advisor Birmingham AL
76 score

Jeffrey Roy

CRD Number: 6398348
Current Firm: Wells Fargo Advisors, LLC

Jeffrey Roy (CRD# 6398348) is an Investment Advisor Representative working at Wells Fargo Advisors, LLC in Birmingham, AL and has over 2 years of experience in the finance industry.

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Company Name Location Dates Years
Wells Fargo Advisors, LLC Fort Benning, GA Sep 2014 - Current 2
Wells Fargo Bank Na Fort Benning, GA Apr 2014 - Current 2
Lowes Fort Walton Beach, FL Feb 2011 - Feb 2014 3
The Home Depot Pensacola, FL Aug 2006 - Dec 2010 4
United States Marine Corps Pensacola, FL Sep 2002 - Aug 2006 3
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Dec 2014
S63 Uniform Securities State Law Examination Nov 2014
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Jeffrey A. Roy
Phone Number: 314-875-3000
Registered State(s):
  • AL
  • FL
By the Numbers
  • Total Assets Under Management
    372,113
    MILLIONS
  • Total Number of Accounts
    1,339,368
    ACCOUNTS
  • Average Account Value
    $277,827
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
76

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