Robert Roy is Member and Chief Compliance Officer of Somnio Financial Group, is a control person of the firm and directly owns between 50% and 75% of it.
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.
Robert Roy’s longest registration is the current one, 11 years at Somnio Financial Group since 2015. Before joining Somnio Financial Group in 2015, Robert 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.– · 3 yearsEast Hartford, CT · Adviser representative · Firm CRD 6363
Investment adviser representative registrations
Robert 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 51 | Municipal Fund Securities Principal Examination | 17 March 2009 |
| Series 24 | General Securities Principal Examination | 18 January 2008 |
| Series 66 | Uniform Combined State Law Examination | 1 April 2005 |
| Series 7 | General Securities Representative Examination | 11 March 2005 |
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Fund Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Robert Norman Roy
- CRD
- 4897441
- Firm
- Somnio Financial Group · CRD 174217
- Role
- Member; Chief Compliance Officer
- Office
- 140 GLASTONBURY BLVD, SUITE 450, Glastonbury, CT 06033
- Registration
- Investment adviser registration
- In the industry since
- April 2005
- Disciplinary history
- Not yet shown here · SEC record
Where does Robert Roy work?
Robert Roy is Member; Chief Compliance Officer of Somnio Financial Group, LLC, and is a control person of the firm.
Is Robert Roy a financial advisor?
Yes. Robert Roy has a current investment-adviser registration in Connecticut, through Somnio Financial Group since April 2015.
How many years of experience does Robert Roy have?
Robert Roy has 21 years in the financial industry, since April 2005, across 3 adviser firms.
What exams has Robert Roy passed?
Robert Roy has passed 4 licensing exams: the Series 7, Series 66, Series 24 and Series 51. The earliest, the Series 7, was passed in March 2005. FINRA credited Robert Roy with the SIE, which began in October 2018.
Where did Robert Roy work before Somnio Financial Group?
Before Somnio Financial Group, Robert Roy was registered through Next Financial Group, Inc., January 2009 to April 2015; Ameriprise Financial Services, Inc., April 2005 to January 2009.
Where is Robert Roy based?
Robert Roy’s registered office is in Glastonbury, CT.
Is Robert Roy registered with FINRA?
No. Robert Roy has no current broker registration.
How can I verify Robert Roy’s record?
Search CRD 4897441 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Robert Roy’s full registration record.
