Troy A. Persyn
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.
Troy Anthony Persyn was a registered financial professional .
Troy is a previously registered financial professional and started their career in finance in 1995. Troy had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 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 24, 2017 - August 4, 2017
SECURIAN FINANCIAL SERVICES, INC.
December 16, 2016 - August 4, 2017
SECURIAN FINANCIAL SERVICES, INC.
September 15, 2015 - September 27, 2016
CUSO FINANCIAL SERVICES, L.P.
September 15, 2015 - September 27, 2016
CUSO FINANCIAL SERVICES, L.P.
November 3, 2005 - September 1, 2015
NEXT FINANCIAL GROUP, INC.
November 3, 2005 - September 1, 2015
NEXT FINANCIAL GROUP, INC.
September 27, 2005 - November 4, 2005
ONYX WEALTH ADVISORS, INC.
February 9, 2005 - November 4, 2005
CAMBRIDGE LEGACY SECURITIES L.L.C.
December 9, 1999 - February 23, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
December 9, 1999 - February 23, 2005
OSAIC FA, INC.
July 27, 1999 - November 23, 1999
HANTZ FINANCIAL SERVICES, INC.
December 7, 1998 - March 5, 1999
PRUCO SECURITIES, LLC.
December 9, 1995 - February 23, 2005
OSAIC FA, 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
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296 / SEC#: 801-45152, 8-31955
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| CARPENTER, KIMBERLY KAY | MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF | 4266541 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| OBRIEN, KERI SUE | SECRETARY | 6821352 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2023 |
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.
