Roxanne Chamberlin
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 Chamberlin, who also goes by Roxanne Homes, Roxanne Pierce, was a registered financial professional .
Roxanne is a previously registered financial professional and started their career in finance in 1988. Roxanne had worked at 4 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
February 2, 2015 - July 5, 2017
VOYA FINANCIAL PARTNERS, LLC
May 21, 2012 - February 2, 2015
VOYA FINANCIAL ADVISORS, INC.
October 15, 1993 - May 21, 2012
VOYA FINANCIAL PARTNERS, LLC
June 21, 1991 - October 15, 1993
AELTUS CAPITAL, INC
October 5, 1988 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
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
VOYA FINANCIAL PARTNERS, LLC
CRD#: 34815 / SEC#: 801-57637, 8-46451
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
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.
