Nicholas Roy has held the title Member at Somnio Financial Group since January 2009, is a control person of the firm and directly owns between 50% and 75% of it. Nicholas Roy holds a B.S. from the University of Connecticut School of Business.
Somnio Financial Group, LLC is a Glastonbury, CT firm with $168M under management, 103 clients and 2 advisers in one office, as of its February 2026 filing.
Nick Roy is Partner and Co-Founder of Somnio Financial Group. He has taught financial planning courses to financial professionals as an adjunct professor.
Nicholas Roy’s longest registration is the current one, 11 years at Somnio Financial Group since 2015. Before joining Somnio Financial Group in 2015, Nicholas Roy was registered through Next Financial Group, Inc. and Ameriprise Financial Services, Inc.
- Somnio Financial Group, LLCCurrent– present · 11 yearsGlastonbury, CT · Adviser representative · Firm CRD 174217
- Next Financial Group, Inc.– · 6 yearsGlastonbury, CT · Adviser representative · Firm CRD 46214
- Ameriprise Financial Services, Inc.– · 2 yearsEast Hartford, CT · Adviser representative · Firm CRD 6363
Professional designations
Listed by Somnio Financial Group
- CFP®
Investment adviser representative registrations
Nicholas Roy is registered as an investment adviser representative in Connecticut, since April 2015.
- ConnecticutSince 24 April 2015
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 14 April 2006 |
| Series 7 | General Securities Representative Examination | 1 March 2006 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Nicholas Raymond Roy
- CRD
- 5074653
- Firm
- Somnio Financial Group · CRD 174217
- Role
- Member
- Office
- 140 GLASTONBURY BLVD, SUITE 450, Glastonbury, CT 06033
- Registration
- Investment adviser registration
- In the industry since
- April 2006
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- somniofg.com
Where does Nicholas Roy work?
Nicholas Roy has held the title Member at Somnio Financial Group, LLC since January 2009, and is a control person of the firm.
Is Nicholas Roy a financial advisor?
Yes. Nicholas Roy has a current investment-adviser registration in Connecticut, through Somnio Financial Group since April 2015.
How many years of experience does Nicholas Roy have?
Nicholas Roy has 20 years in the financial industry, since April 2006, across 3 adviser firms.
What exams has Nicholas Roy passed?
Nicholas Roy has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in March 2006. FINRA credited Nicholas Roy with the SIE, which began in October 2018.
Where did Nicholas Roy work before Somnio Financial Group?
Before Somnio Financial Group, Nicholas Roy was registered through Next Financial Group, Inc., January 2009 to April 2015; Ameriprise Financial Services, Inc., April 2006 to January 2009.
Where is Nicholas Roy based?
Nicholas Roy’s registered office is in Glastonbury, CT.
Is Nicholas Roy registered with FINRA?
No. Nicholas Roy has no current broker registration.
Is Nicholas Roy a CFP?
Somnio Financial Group lists Nicholas Roy with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.
How can I verify Nicholas Roy’s record?
Search CRD 5074653 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Nicholas Roy’s full registration record.