Roxann M. Kerr Lindsey
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.
Roxann Marie Kerr Lindsey, who also goes by Roxann Marie Kerr, Roxann Kerr Lindsey, Roxann Marie Lindsey, Roxann Marie Schlein, was a registered financial professional .
Roxann is a previously registered financial professional and started their career in finance in 1994. Roxann had worked at 3 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
January 25, 2017 - January 11, 2021
CBIZ FINANCIAL SOLUTIONS, INC.
December 22, 2000 - December 31, 2015
CBIZ FINANCIAL SOLUTIONS, INC.
August 20, 1999 - December 13, 2000
NATIONAL PLANNING CORPORATION
April 7, 1994 - August 20, 1999
BMA FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CBIZ FINANCIAL SOLUTIONS, INC.
CRD#: 16678 / SEC#: 801-56332, 8-34205
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
CBIZ FINANCIAL SOLUTIONS, INC.
CRD#: 16678 / SEC#: 801-56332, 8-34205
Contact information
SEC notice filing (26 States and Territories)
FINRA licenses (47 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 23 |
| AUM (Assets Under Management) | $ 23,881,016 |
Disclosures
| Regulatory Event | 2 |
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.
