AR
Amy A. Roxin
PRINCIPAL SECURITIES
Canandaigua, NY
Some features on this profile are disabled
CRD#: 1879054
AR
Professional summary
Amy Austin Roxin, who also goes by Amy Anne Austin, Amy Austin, Ammy Austin Cook, Amy Austin Cook, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Canandaigua, New York.
Amy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Amy has worked at 11 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 31, Series 7, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Amy Anne Austin | Amy Austin | Ammy Austin Cook | Amy Austin Cook
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.
**DELIBERATE LUCK VINEYARD POSITION: Officer / Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 07/30/2023 ADDRESS: 5252 County Road 16, Canandaigua NY 14424, United States DESCRIPTION: Co-President and Owner of micro wine vineyard. Planted 300 vines. No income at this point. We plan to hand press the grapes and make wine in September of 2026. Most likely not enough production to sell. **INSURANCE POSITION: Outside Sales NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 11/20/2023 ADDRESS: 100 Corporate Parkway, Suite 118, Amherst NY 14226, United States DESCRIPTION: Sale of Life, DI, Annuities, Health, LTC, Dental, Medicare & Medical Insurance through various carriers **RICK ROXIN FOR TOWN JUSTICE POSITION: Rick Roxin for Town Justice NATURE: Elected Official INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 02/25/2025 ADDRESS: 5252 COUNTY ROAD 16, CANANDAIGUA NY 14424-8953, United States DESCRIPTION: My Husband, Rick Roxin, is running for Town Justice in our town of Canandaigua, NY. I will have NO involvement in the fund raising or money handling - no check writing privileges at all.
CRS (Client Relationship Summary) - RIA
Click below to view Amy Austin Roxin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Amy Austin Roxin's 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®
NoneExperience
Current
October 30, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #2: 100 Corporate Pkwy Ste 118, Amherst, NY 14226RIA
BD
CRD#: 1137
Canandaigua, NY
Current
October 30, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 100 Corporate Pkwy Ste 118, Amherst, NY 14226RIA
BD
CRD#: 1137
Amherst, NY
Past
June 15, 2022 - September 27, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
Canandaigua, NY
Past
June 15, 2022 - September 27, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
March 26, 2021 - December 7, 2021
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
BROOKLYN, OH
Past
September 21, 2016 - December 31, 2016
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
BROOKLYN, OH
Past
September 21, 2016 - December 7, 2021
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
BROOKLYN, OH
Past
May 15, 2012 - September 21, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
ROCHESTER, NY
Past
May 15, 2012 - September 21, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
ROCHESTER, NY
Past
February 15, 2010 - May 15, 2012
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
PENFIELD, NY
Past
February 8, 2010 - May 15, 2012
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
PENFIELD, NY
Past
April 2, 2007 - June 24, 2008
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
ROCHESTER, NY
Past
April 2, 2007 - June 24, 2008
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
ROCHESTER, NY
Past
October 18, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
ROCHESTER, NY
Past
September 21, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
ROCHESTER, NY
Past
June 8, 1999 - October 11, 2000
M&T SECURITIES, INC.
BD
CRD#: 17358
BALTIMORE, MD
Past
March 21, 1997 - May 25, 1999
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
June 24, 1992 - October 28, 1996
FORESIDE ASSOCIATES, LLC
BD
CRD#: 13494
PORTLAND, ME
Past
October 19, 1988 - June 5, 1990
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 19, 1988 - June 5, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(10/17/2024)
RR
New York(10/30/2023)
IAR
New York(10/30/2023)
RR
Oklahoma(10/21/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
