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Heajin Roh

PHX FINANCIAL
Fort Lauderdale, FL 33301
Some features on this profile are disabled
CRD#: 6441406
HR

Professional summary

Heajin Roh, who also goes by Kira Roh, is a registered financial professional currently at PHX FINANCIAL, INC. located in Fort Lauderdale, Florida.

Heajin is registered as a RR (Registered Representative) and started their career in finance in 2015. Heajin has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kira Roh

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Heajin Roh's CRS (Customer Relationship Summary).
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®
None

Experience

Current

August 18, 2023 - Present

PHX FINANCIAL, INC.

Office #1: 1 East Broward Boulevard, Fort Lauderdale, FL 33301
BD
CRD#: 144403
Fort Lauderdale, FL
Past

August 19, 2021 - December 15, 2021

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Washington, DC
Past

August 3, 2021 - December 15, 2021

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Washington, DC
Past

August 12, 2019 - March 24, 2021

MORGAN STANLEY

RIA
CRD#: 149777
HUNT VALLEY, MD
Past

August 12, 2019 - March 24, 2021

MORGAN STANLEY

BD
CRD#: 149777
HUNT VALLEY, MD
Past

August 18, 2015 - July 26, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
BALTIMORE, MD
Past

May 11, 2015 - July 26, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
BALTIMORE, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(8/24/2023)
RR
District of Columbia
(8/24/2023)
RR
Florida
(8/18/2023)
RR
Georgia
(8/24/2023)
RR
Maryland
(8/18/2023)
RR
New York
(8/18/2023)
RR
North Carolina
(8/25/2023)
RR
Ohio
(11/29/2024)
RR
South Carolina
(8/24/2023)
RR
Texas
(8/24/2023)
RR
Utah
(3/6/2025)
RR
Virginia
(8/24/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/17/2015
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/11/2015
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PF
PHX FINANCIAL, INC.
BLACKWALL CAPITAL MARKETS, INC. | PHX FINANCIAL, INC. | PHOENIX FINANCIAL SERVICES | GRANDVIEW CAPITAL, INC.

CRD#: 144403 / SEC#: , 8-67653

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
100 Wall Street Floor 10, New York, NY 10005
Mailing Address
100 Wall Street Floor 10, New York, NY 10005
Phone number
(212) 776-4187
Established
Florida since 12/27/2006
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PHOENIX FINANCIAL CONSOLIDATED HOLDINGS, LPPARENT OF BROKER DEALER
CHEN, KEVINCEO4871316
GILMAN, ROBERT CRAIGFINOP - PFO1738412
MONTANA, JOSEPH RYANROSFP, MSRB PRINCIPAL5640919
OTOYA, DANIEL ORLANDOCHIEF COMPLIANCE OFFICER2208241

Disclosures

Regulatory Event4
Arbitration2

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.

Company Information

PHX FINANCIAL, INC.

CRD#: 144403Fort Lauderdale, FL 33301

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