Steven Roy is a registered investment advisor at Caitlin John, LLC, based in Brighton, MI, with 23 years of industry experience. Steven operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 733 clients with $180M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Caitlin John offers investment management under either a wrap fee program (CJWFP) or a non-wrap fee arrangement. The wrap fee cannot exceed 2.48%, and the non-wrap fee cannot exceed 3.0%. Fees are negotiable and may be structured as tiered, tapered, or fixed. The fees cover advisory services, investment management oversight, administrative and custodial services, and may include the use of a third-party investment advisor.
Location
1024 E. Grand River Ave, Suite B, Brighton, MI, 48116
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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.
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Steven is a silent partner in Monthly Shoppers Inc., treasurer and vice president at Swartz Ambulance (dedicating about 10-20% of his time), and a real estate agent with Cornerstone Real Estate of Southwest Florida (dedicating about 10-20% of his time). None of these activities are investment-related.
Employment History
Current Registrations
Caitlin John, LLC
Previous Registrations
Founders Financial Securities, LLC
Founders Financial Securities LLCBroker
Cfd Investments, INC.Broker
Questar Capital CorporationBroker
State Registrations2 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.