David Roy, financial advisor Vienna VA
83 score

David Roy

CRD Number: 2968712
Current Firm: Ubs Financial Services Inc.

David Roy (CRD# 2968712) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Vienna, VA and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Vienna, VA Aug 2011 - Current 5
Morgan Stanley Smith Barney Washington, DC Jun 2009 - Aug 2011 2
Morgan Stanley & Company, Incorporated Washington, DC Apr 2007 - Jun 2009 2
Morgan Stanley Dw Inc. Washington, DC Jan 2006 - Apr 2007 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 1998
S65 NASAA Investment Advisors Law Examination Jan 1998
S66 NASAA Uniform Combined State Law Examination Mar 2004
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:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for David V. Roy
Phone Number: 201-352-3000
Registered State(s):
  • MD
  • TX
  • VA
By the Numbers
  • Total Assets Under Management
    358,253
    MILLIONS
  • Total Number of Accounts
    860,383
    ACCOUNTS
  • Average Account Value
    $416,388
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
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)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, 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, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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