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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2025-09-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Roy & Associates, Cpas P.A. | Bangor | ME | 06/1995 | Present |
| 1St Global Capital Corp | Bangor | ME | 06/2008 | 10/2019 |
| 1St Global Advisors, Inc. | Bangor | ME | 06/2008 | 10/2019 |
| Avantax Insurance Services | Bangor | ME | 02/2009 | 09/2025 |
| Avantax Investment Services, Inc | Bangor | ME | 10/2019 | 09/2025 |
| Avantax Advisory Services | Bangor | ME | 10/2019 | 09/2025 |
| R&A Wealth Management, Llc | Bangor | ME | 10/2008 | Present |
| Avantax Insurance Agency And/Or Avantax Insurance Services. | Bangor | ME | 10/2022 | 09/2025 |
| Cetera Wealth Services, Llc | Bangor | ME | 09/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 09/2025 | Present |
1) ROY & ASSOCIATES, CPA'S; POSITION: PARTNER NATURE: FINANCIAL SERVICES INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 06/01/1995; ADDRESS: 209 State St, Bangor ME 04401: null 2) R&A WEALTH MANAGEMENT, LLC POSITION: OWNER NATURE: FINANCIAL SERVICES INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 60 START DATE: 10/01/2008 ADDRESS: 74 Gilman Rd, Suite 3, Bangor ME 04401, United States DESCRIPTION: Financial Services
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-09-08 |
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