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ROY MICHAEL BLUMBERG
ROY M BLUMBERG
CRD#: 1353524
IA
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PRIVATE ADVISOR GROUP, LLCCRD#: 155216 101 LINDENWOOD DRIVE STE 225
MALVERN, PA 19355
MALVERN, PA 19355
LPL FINANCIAL LLCCRD#: 6413 101 LINDENWOOD DRIVE STE 225
MALVERN, PA 19355
MALVERN, PA 19355
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Disclosures
33
Years of Experience
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State Registrations
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Connecticut 7/29/2009
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New York 7/29/2009
B
Florida 7/29/2009
B
Pennsylvania 7/29/2009
B
Maryland 7/29/2009
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Pennsylvania 6/1/2012
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New Jersey 7/30/2009
SRO Registrations
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Registered with this firm since 6/1/2012
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Registered with this firm since 7/29/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/18/2012 - 03/27/2013 | KING OF PRUSSIA, PA | |
IA | 03/16/2009 - 08/03/2009 | BIRMINGHAM, AL | |
B | 03/16/2009 - 08/03/2009 | BIRMINGHAM, AL | |
IA | 07/17/2006 - 06/23/2008 | PHILADELPHIA, PA | |
B | 07/12/2006 - 06/23/2008 | PHILADELPHIA, PA | |
IA | 03/16/2005 - 09/29/2006 | BIRMINGHAM, AL | |
B | 07/12/2000 - 07/10/2006 | BIRMINGHAM, AL | |
B | 01/28/1997 - 08/29/1999 | SAN DIEGO, CA | |
B | 08/06/1996 - 10/08/1998 | NEW YORK, NY | |
B | 08/31/1992 - 01/31/1994 | NEW YORK, NY | |
B | 10/25/1990 - 01/28/1992 | NEW YORK, NY | |
B | 08/10/1987 - 11/08/1989 | ||
B | 01/21/1986 - 07/27/1987 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.