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Steven Roy
STEVEN NOLAN ROY, Steve Roy
CRD#: 4355024
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J.P. MORGAN SECURITIES LLCCRD#: 79 1575 S Five Mile Rd
BOISE, ID 83709
BOISE, ID 83709
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Disclosures
18
Years of Experience
View By:
State Registrations
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Arizona 1/18/2017
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Montana 10/1/2012
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California 9/17/2013
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Nevada 11/6/2013
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Colorado 11/20/2019
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North Carolina 5/16/2016
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Delaware 11/16/2023
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Oregon 6/16/2016
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Florida 5/9/2022
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Oregon 2/16/2017
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Georgia 5/21/2024
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South Carolina 8/14/2024
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Hawaii 1/4/2016
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Tennessee 10/1/2012
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Idaho 10/1/2012
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Texas 6/29/2022
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Idaho 10/1/2012
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Texas 8/1/2022
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Louisiana 10/8/2015
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Utah 10/27/2020
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Maryland 1/20/2017
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Washington 1/26/2017
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Michigan 10/1/2012
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Wyoming 9/30/2015
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Missouri 9/17/2021
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Registered with this firm since 10/1/2012
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Registered with this firm since 10/1/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/31/2012 - 10/01/2012 | BOISE, ID | |
B | 03/15/2012 - 10/01/2012 | BOISE, ID | |
B | 04/08/2010 - 11/17/2010 | IRON RIVER, MI | |
B | 07/06/2005 - 03/12/2009 | BLOOMFIELD HILLS, MI | |
B | 06/30/2004 - 07/06/2005 | CHICAGO, IL | |
B | 07/23/2003 - 10/29/2003 | ST. LOUIS, MO |
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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.