Steven Roy has been an investment adviser representative at Caitlin John since August 2016, and is not listed among the firm’s executive officers or direct owners.
Caitlin John, LLC is a Brighton, MI firm with $215M under management, 602 clients and 25 advisers across 14 offices, as of its September 2026 filing.
Steven Roy’s longest registration is the current one, 10 years at Caitlin John since 2016. Before joining Caitlin John in 2016, Steven Roy was registered through Founders Financial Securities, LLC.
- Simplyria Advisor NetworkCurrent– present · 10 yearsLongboat Key, FL · Adviser representative · Firm CRD 154494
- Founders Financial Securities, LLC– · 5 yearsGrand Blanc, MI · Adviser representative · Firm CRD 137945
Investment adviser representative registrations
Steven Roy is registered as an investment adviser representative in 2 states. The first approvals date from August 2016; the most recent is Florida, in March 2022.
- FloridaSince 29 March 2022
- MichiganSince 22 August 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 17 December 2010 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 18 November 2002 |
| Series 63 | Uniform Securities Agent State Law Examination | 31 October 2002 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Steven Michael Roy
- CRD
- 4601095
- Firm
- Caitlin John · CRD 154494
- Office
- Longboat Key, FL
- Registration
- Investment adviser registration
- In the industry since
- February 2011
- Disciplinary history
- Not yet shown here · SEC record
Where does Steven Roy work?
Steven Roy is an investment adviser representative registered through Caitlin John, LLC since August 2016, and is not listed among the firm’s executive officers or direct owners.
Is Steven Roy a financial advisor?
Yes. Steven Roy has a current investment-adviser registration in Florida and Michigan, through Caitlin John since August 2016.
How many years of experience does Steven Roy have?
Steven Roy has 15 years in the financial industry, since February 2011, across 2 adviser firms.
What exams has Steven Roy passed?
Steven Roy has passed 3 licensing exams: the Series 63, Series 6 and Series 65. The earliest, the Series 63, was passed in October 2002. FINRA credited Steven Roy with the SIE, which began in October 2018.
Where did Steven Roy work before Caitlin John?
Before Caitlin John, Steven Roy was registered through Founders Financial Securities, LLC, February 2011 to August 2016.
Where is Steven Roy based?
Steven Roy’s registered office is in Longboat Key, FL.
Is Steven Roy registered with FINRA?
No. Steven Roy has no current broker registration.
How can I verify Steven Roy’s record?
Search CRD 4601095 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Steven Roy’s full registration record.