Roxanne Munoz
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 Munoz, who also goes by Roxanne Heisey, was a registered financial professional .
Roxanne is a previously registered financial professional and started their career in finance in 1986. Roxanne had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2000 - June 4, 2019
VALLEY NATIONAL INVESTMENTS, INC.
December 21, 1995 - June 14, 2000
1717 CAPITAL MANAGEMENT COMPANY
August 26, 1993 - July 13, 1995
OSAIC FS, INC.
October 17, 1989 - November 1, 1991
GUARDIAN INVESTOR SERVICES LLC
September 24, 1986 - December 21, 1987
COVENANT SECURITIES, INC.
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
Current Firm
VALLEY NATIONAL INVESTMENTS, INC.
CRD#: 16715 / SEC#: , 8-34427
Contact information
FINRA licenses (9 States and Territories)
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.
