Roy Longoria, financial advisor Houston TX
96 score

Roy Longoria

CRD Number: 4477369
Current Firm: Sunbelt Securities

Roy Longoria (CRD# 4477369) is an Investment Advisor Representative working at Sunbelt Securities in Houston, TX and has over 14 years of experience in the finance industry. Roy Longoria has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Shores Longoria Retirement Plan Consultants Austin, TX Jul 2013 - Current 3
Sunbelt Securities Inc. Houston, TX Sep 2010 - Current 6
Merrill Lynch, Pierce, Fenner & Smith Incorporated Austin, TX May 2005 - Sep 2010 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 2002
S65 NASAA Investment Advisors Law Examination Jul 2005
Contact Info for Roy A. Longoria
Phone Number: 713-965-9510
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    201
    MILLIONS
  • Total Number of Accounts
    957
    ACCOUNTS
  • Average Account Value
    $209,810
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
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
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AR, AZ, CA, CO, FL, GA, IA, IL, KY, LA, MI, MO, MS, NC, NE, NM, NV, NY, OH, OK, OR, PA, SD, TN, TX, UT, VA, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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