Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Amy? Claim Your ProfileAmy Austin Roxin has been a financial professional since 1999. Amy is currently registered with Principal Securities, Inc. Amy has experience with insurance products as well as securities. Amy is also an officer and owner of Deliberate Luck Vineyard. Amy has a variety of licenses and designations and holds the Series 7, 24, 26, 31, 63, 66, 99TO and SIE licenses. Amy is licensed to sell securities in New York. Amy has been employed with LPL Financial LLC, Key Investment Services LLC, and HSBC Securities (USA) INC. in the past. Amy has a wide range of experience and is able to provide financial advice and services to a variety of clients including individuals, high net worth individuals, corporations and businesses, and pension and profit-sharing plans.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
NY
10/30/2023 - Present
Principal Securities, Inc. (Amherst NY)
SC
06/15/2022 - 09/27/2023
LPL FINANCIAL LLC (FORT MILL SC)
OH
09/21/2016 - 12/07/2021
KEY INVESTMENT SERVICES LLC (BROOKLYN OH)
NY
05/15/2012 - 09/21/2016
LPL FINANCIAL LLC (ROCHESTER NY)
NY
02/15/2010 - 05/15/2012
HSBC SECURITIES (USA) INC. (PENFIELD NY)
NY
04/02/2007 - 06/24/2008
MORGAN STANLEY & CO. INCORPORATED (ROCHESTER NY)
NY
09/21/2006 - 04/02/2007
MORGAN STANLEY DW INC. (ROCHESTER NY)
MD
06/08/1999 - 10/11/2000
M&T SECURITIES, INC. (BALTIMORE MD)
NY
03/21/1997 - 05/25/1999
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
ME
06/24/1992 - 10/28/1996
CITIZENS SECURITIES (PORTLAND ME)
MN
10/19/1988 - 06/05/1990
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
10/19/1988 - 06/05/1990
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 10/17/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/15/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/26/2016
Series 24 - General Securities Principal Examination
BC
Issued 10/27/1992
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/25/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 09/20/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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