Roxanna M. Guinan

CARDEA CAPITAL ADVISORS

Coral Gables, FL 33134

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CRD#: 1194705

Professional summary

Roxanna Marie Guinan, who also goes by Higgins Guinan, Rocky Guinan, Roxanna Marie Higgins, is a registered financial advisor currently at CARDEA CAPITAL ADVISORS, LLC located in Coral Gables, Florida.

Roxanna is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Roxanna has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 8 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Higgins Guinan | Rocky Guinan | Roxanna Marie Higgins

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roxanna Marie Guinan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 1, 2024 - Present

CARDEA CAPITAL ADVISORS, LLC

Office #1: 2811 Ponce De Leon Boulevard Suite 730, Coral Gables, FL 33134Office #2: 2520 Northwinds Parkway Suite 309, Alpharetta, GA 30009

RIA

CRD#: 307600

Coral Gables, FL

Past

March 27, 2017 - December 11, 2017

WORLD CHOICE SECURITIES, INC.

CRD#: 30933

COLUMBUS, OH

Past

July 15, 2016 - July 28, 2022

CLARAPHI ADVISORY NETWORK, LLC

RIA

CRD#: 165868

Vero Beach, FL

Past

June 19, 2014 - January 25, 2016

FREEDOM INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 126052

SAN RAFAEL, CA

Past

December 6, 2013 - May 6, 2014

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

BOCA RATON, FL

Past

January 8, 2007 - March 5, 2012

AXOS CLEARING LLC

CRD#: 117176

OMAHA, NE

Past

March 6, 2006 - March 1, 2007

1ST DISCOUNT BROKERAGE, INC.

CRD#: 39164

LAKE WORTH, FL

Past

April 16, 1999 - August 5, 2005

APEX CLEARING CORPORATION

CRD#: 13071

DALLAS, TX

Past

September 1, 1997 - February 12, 1999

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

July 2, 1991 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

December 7, 1989 - February 8, 1993

BOWLES HOLLOWELL CONNER & CO.

CRD#: 17511

CHARLOTTE, NC

Past

January 21, 1986 - May 23, 1988

CITICORP SECURITIES SERVICES, INC.

CRD#: 15387

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CARDEA CAPITAL ADVISORS, LLC

CRD#: 307600 / SEC#: 801-118445

RIA

Registered Investment Advisory firm - (4/17/2020 Approved)

Louisiana

Registered Investment Advisory firm - (8/11/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(5/1/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/7/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/5/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/11/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/18/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 3/9/1988

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 24

Date: 8/11/1987

General Securities Principal Examination

Current Firm

CARDEA CAPITAL ADVISORS, LLC

CRD#: 307600 / SEC#: 801-118445

RIA

Registered Investment Advisory firm - (4/17/2020 Approved)

Louisiana

Registered Investment Advisory firm - (8/11/2021 Terminated)

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Contact information

Main Address

2520 Northwinds Parkway Suite 309, Alpharetta, GA 30009

Mailing Address

Phone number

(770) 977-7779

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CARDEA CAPITAL ADVISORS, LLC ADV PART 2 BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	374
AUM (Assets Under Management)	$ 105,752,926

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.

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Roxanna M. Guinan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roxanna Marie Guinan's CRS (Customer Relationship Summary).

Certified licenses

Experience

WORLD CHOICE SECURITIES, INC.

CLARAPHI ADVISORY NETWORK, LLC

FREEDOM INVESTMENT MANAGEMENT, INC.

NEWBRIDGE SECURITIES CORPORATION

AXOS CLEARING LLC

1ST DISCOUNT BROKERAGE, INC.

APEX CLEARING CORPORATION

DB ALEX. BROWN LLC

ALEX. BROWN & SONS INCORPORATED

BOWLES HOLLOWELL CONNER & CO.

CITICORP SECURITIES SERVICES, INC.

Primary Firm SEC Registration

CARDEA CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/7/2017

Series 63

Date: 12/5/1986

SIE

Date: 12/11/2017

Series 7

Date: 1/18/1986

Series 8

Date: 3/9/1988

Series 24

Date: 8/11/1987

Current Firm

CARDEA CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CARDEA CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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