Travis RoyCRD Number: 3000869
Current Firm: Schwab Private Client Investment Advisory, Inc.
Travis Roy (CRD# 3000869) is an Investment Advisor Representative working at Schwab Private Client Investment Advisory, Inc. in Orlando, FL and has over 18 years of experience in the finance industry.
Ameriprise Financial Services, Inc.
American Financial Advisors Inc.
Retirement Wealth Advisors, Inc.
|Schwab Private Client Investment Advisory, Inc.||Orlando, FL||Jan 2012 - Current||6|
|Charles Schwab & Company, Inc.||Orlando, FL||Dec 1997 - Current||20|
|Charles Schwab Bank||Orlando, FL||Nov 2005 - Dec 2011||6|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 1999|
|S66||NASAA Uniform Combined State Law Examination||Apr 2007|
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:
- Customer Dispute
Total Assets Under Management67,823MILLIONS
Total Number of Accounts155,246ACCOUNTS
Average Account Value$436,876
- Financial planning services
- Portfolio management for individuals and/or small businesses
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, 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, VT, WA, WI, WV