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Alexander Roy

Ubs Financial Services Inc.

Chesterfield, MO

St. Louis, MO

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-05-02
MO RA APPROVED 2023-09-08
  • TX RA
    APPROVED
    Since 2024-05-02
  • MO RA
    APPROVED
    Since 2023-09-08

Branch Locations

16690 Swingley Ridge Road Suite 240-A, Chesterfield, MO 63017 • United States

St. Louis, MO • 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
Td Ameritrade St. Louis MO 10/2021 08/2023
Edward Jones Hannibal MO 06/2020 08/2020
Ubs Chesterfield MO 04/2018 09/2019
Hannibal Lagrange University Hannibal MO 10/2015 10/2021
Racm Ranch Frankford MO 10/2015 12/2020
Ubs Financial Services Inc Chesterfield MO 08/2023 Present
  • 10/2021 → 08/2023
    Td Ameritrade
    St. Louis, MO
  • 06/2020 → 08/2020
    Edward Jones
    Hannibal, MO
  • 04/2018 → 09/2019
    Ubs
    Chesterfield, MO
  • 10/2015 → 10/2021
    Hannibal Lagrange University
    Hannibal, MO
  • 10/2015 → 12/2020
    Racm Ranch
    Frankford, MO
  • 08/2023 → Present
    Ubs Financial Services Inc
    Chesterfield, MO
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-09-08
S63 Uniform Securities Agent State Law Examination 2022-02-08
  • S65 Uniform Investment Adviser Law Examination
    2023-09-08
  • S63 Uniform Securities Agent State Law Examination
    2022-02-08
Other Names
  • Alex Michael Roy
  • Alexander Michael Roy

View on SEC IAPD

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Other Investors

MICHAEL CHRISTOPHER CARROLL
KERRY D ROGERS
MATTHEW EDWARD FITZGERALD
PATRICK DONLAN
JAMES MATTHEW MUCCIGROSSO
Jason Alan Cummings
Thomas Christopher Self
JACOB DANIEL STANSFIELD

Other Offices

CARROLL WEALTH MANAGEMENT INC. · CHESTERFIELD, MO
PRINCIPAL SECURITIES, INC. · CHESTERFIELD, MO
LPL FINANCIAL LLC · CHESTERFIELD, MO
SMITH, MOORE & CO. · CHESTERFIELD, MO
EDWARD JONES · Chesterfield, MO
IMPACT PARTNERSHIP WEALTH, LLC · Chesterfield, MO
MBM WEALTH CONSULTANTS, LLC · CHESTERFIELD, MO
LPL FINANCIAL LLC · CHESTERFIELD, MO

More in Chesterfield, MO

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