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Kimberly Y Roy

Clearbridge Investments, LLC

New York, NY

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Current Employers
Clearbridge Investments, Llc

One Madison Avenue 18Th Floor, New York, NY 10010 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2008-03-05
  • CT RA
    APPROVED
    Since 2008-03-05

Branch Locations

One Madison Avenue 18Th Floor, New York, NY 10010 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Franklin Distributors, Llc Stamford CT 12/2005 Present
Clearbridge Investments Llc New York NY 02/2006 Present
Legg Mason & Co Llc. Stamford CT 12/2005 08/2022
Putnam Retail Management Lp Stamford CT 01/2024 07/2024
  • 12/2005 → Present
    Franklin Distributors, Llc
    Stamford, CT
  • 02/2006 → Present
    Clearbridge Investments Llc
    New York, NY
  • 12/2005 → 08/2022
    Legg Mason & Co Llc.
    Stamford, CT
  • 01/2024 → 07/2024
    Putnam Retail Management Lp
    Stamford, CT
Other Businesses

NICSA - Board of Directors; Boston, MA; Not-for-Profit; Beginning 11/10/2025; Approx 1 hour quarterly; 1hour during regular securities trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-09
S63 Uniform Securities Agent State Law Examination 1998-07-31
  • S65 Uniform Investment Adviser Law Examination
    1999-12-09
  • S63 Uniform Securities Agent State Law Examination
    1998-07-31
Other Names
  • Kimberly Yvonne Blass

View on SEC IAPD

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KINYAN CAPITAL MANAGEMENT LLC · NEW YORK, NY
BRIGHTSPIRE CAPITAL ADVISORS, LLC · NEW YORK, NY
ACORN ADVISORY CAPITAL, L.P. · NEW YORK, NY
COMPASS GROUP LLC · NEW YORK, NY
CRESTVIEW PARTNERS · NEW YORK, NY
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