Roxanne H. Kolbe
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Roxanne Helen Kolbe, who also goes by Roxanne Helen Blomendale, Roxanne Blomendale, Roxanne Helen Kolbe, Roxanne Helen Smith Ms., was a registered financial professional .
Roxanne is a previously registered financial professional and started their career in finance in 1982. Roxanne had worked at 10 firms and has passed the Series 63, Series 7, Series 6, Series 22 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2003 - March 22, 2012
OMNIVEST, INC.
January 24, 2001 - April 1, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 6, 1999 - April 1, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 22, 1997 - March 24, 1999
OSAIC WEALTH, INC.
May 24, 1995 - November 10, 1997
STEPHENS
May 15, 1992 - March 11, 1994
AMERICAN FINANCE GROUP SECURITIES CORP.
June 28, 1990 - March 21, 1991
INLAND SECURITIES CORPORATION
August 26, 1986 - June 21, 1990
PLM SECURITIES CORP.
August 27, 1985 - April 1, 1986
AMERICAN DIVERSIFIED EQUITY CORPORATION
October 15, 1984 - December 28, 1984
THE BOSTONIAN GROUP SECURITIES CORPORATION
March 10, 1982 - September 4, 1984
GREEN HILL FINANCIAL SERVICE CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 3/25/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
OMNIVEST, INC.
CRD#: 13396 / SEC#: , 8-29259
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
