Douglas Royce is a registered investment advisor, based in New Rochelle, NY, with 22 years of industry experience.
Location
New Rochelle, NY
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Douglas is an advisor at Summit Financial and an agent for fixed insurance/annuities at both PKSF and another unnamed entity, dedicating about a quarter of his time to each. He also owns Douglas Royce Advisory Group, LLC, an independent insurance agency for personal and commercial property and casualty lines, spending about a quarter of his time there.
Employment History
Current Registrations
Purshe Kaplan Sterling InvestmentsBroker
Summit Financial, LLC
Previous Registrations
Prudential Financial Planning Services
Pruco Securities, LLC.Broker
Farmers Financial Solutions, LLCBroker
Northwestern Mutual Investment Services, LLCBroker
M.S. Farrell & Company, INC.Broker
Duke & CO., INC.Broker
First Albany CorporationBroker
Carnes Capital CorporationBroker
Albert Fried & Company, LLCBroker
Vantage Securities, INC.Broker
Rosenkrantz Lyon & Ross IncorporatedBroker
Adler, Coleman & Co.,inc.Broker
Broder & Company IncorporatedBroker
Philips, Appel & Walden, INC.Broker
State Registrations6 states
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