Henry Joseph Roy

Employer firm

Wells Fargo Advisors Financial Network, LLC CRD 11025

$252B regulatory AUM 2,990 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

Current Employers

Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2026-03-23
TX	RA	APPROVED	2015-08-05
RI	RA	APPROVED	2006-03-09

FL RA
APPROVED

Since 2026-03-23
TX RA
APPROVED

Since 2015-08-05
RI RA
APPROVED

Since 2006-03-09

Branch Locations

Fort Meyers, FL • United States

20 Cabot Blvd Ste 300, Mansfield, MA 02048 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Financial Network Llc	Mansfield	MA	05/2009	Present

05/2009 → Present

Wells Fargo Advisors Financial Network Llc

Mansfield, MA

Previous Registrations

2000-07-03 → 2006-03-13

Ubs Financial Services Inc.

Providence, RI

Other Businesses

COMMUNITY COLLEGE OF RHODE ISLAND; NOT INVESTMENT RELATED; WARWICK, RI; TEACHING A COURSE TITLED "INVESTMENTS"; COURSE DATES 01/28/10 - 5/16/10; APPROX 10 HOURS DEVOTED PER MONTH; NONE DURING TRADING HOURS. USA HOCKEY; NOT INVESTMENT RELATED; ICE HOCKEY OFFICIATING; ON-ICE OFFICIAL; START 9/8/2012; 5-10 HRS PER MONTH; 0 HRS DURING TRADING; OFFICIATING YOUTH ICE HOCKEY GAMES. R&L FINANCIAL GROUP LLC; INV RELATED; MANSFIELD, MA; 55% OWNER; FOR FINET PRACTICE; START: 4/23/19; 200 HRS/MO; 8 DURING TRADING. RENTAL PROPERTY - 13901; INV RELATED;FORT MEYERS,FL; VACATION HOME 2ND RESIDENCE;100% OWNERSHIP; START DATE: 01/01/2027; 2 HRS PER MONTH; 0 HRS DURING TRADING;

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-08-25
S63	Uniform Securities Agent State Law Examination	1994-11-18

S65 Uniform Investment Adviser Law Examination

2006-08-25
S63 Uniform Securities Agent State Law Examination

1994-11-18

Designations

Certified Financial Planner

Other Names

Henry Joseph Roy
Henry J Roy

View on SEC IAPD