Naomi Monica Roy

801 Barton Springs Rd, Austin, TX 78704 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2025-12-12
CO	RA	APPROVED	2024-10-10

Branch Locations

Denver, CO • United States

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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Buffalo	NY	06/2019	03/2022
Barnes And Noble	Amherst	NY	08/2018	06/2019
University At Buffalo	Buffalo	NY	08/2017	05/2019
Tompkins Cortland Community College	Dryden	NY	08/2016	05/2017
Not My Dad's Soft Serve	Trumansburg	NY	05/2013	08/2017
Hyatt	Buffalo	NY	03/2018	07/2018
How Sweet It Is Dessert Cafe	Trumansburg	NY	03/2017	08/2017
Empire Heating Services	Tonawanda	NY	03/2019	04/2019
Raymond James Financial Services, Inc.	Greenwood Village	CO	03/2022	07/2024
Raymond James Financial Services Advisors, Inc	Greenwood Village	CO	03/2022	07/2024
Crux Wealth Advisors	Buffalo	NY	03/2022	07/2024
Root Financial Partners	Encinitas	CA	08/2024	Present

06/2019 → 03/2022

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Buffalo, NY
08/2018 → 06/2019

Barnes And Noble

Amherst, NY
08/2017 → 05/2019

University At Buffalo

Buffalo, NY
08/2016 → 05/2017

Tompkins Cortland Community College

Dryden, NY
05/2013 → 08/2017

Not My Dad's Soft Serve

Trumansburg, NY
03/2018 → 07/2018

Hyatt

Buffalo, NY
03/2017 → 08/2017

How Sweet It Is Dessert Cafe

Trumansburg, NY
03/2019 → 04/2019

Empire Heating Services

Tonawanda, NY
03/2022 → 07/2024

Raymond James Financial Services, Inc.

Greenwood Village, CO
03/2022 → 07/2024

Raymond James Financial Services Advisors, Inc

Greenwood Village, CO
03/2022 → 07/2024

Crux Wealth Advisors

Buffalo, NY
08/2024 → Present

Root Financial Partners

Encinitas, CA

Code	Exam	Date
S66	Uniform Combined State Law Examination	2020-08-04

Other Firms