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Amy Austin Roxin is a financial advisor professional located in Amherst, NY. They specialize in financial advisory. With over 26 years of experience, they bring deep expertise to every client.
Amy Austin Roxin - Principal Securities, Inc. holds an active professional license (FINRA CRD) for your protection.
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Amy Austin Roxin operates Principal Securities, Inc. in Amherst, NY, bringing 26 years of experience in financial advisory services. She holds a FINRA CRD license number 1879054, which enables her to work within the regulatory framework that governs securities professionals. Her extensive tenure in the field reflects deep familiarity with financial markets and client portfolio management. Whether you're building a financial strategy or managing existing investments, her background provides a foundation of market experience and industry compliance.
Amy Austin Roxin's FINRA CRD registration signals that she is registered with the Financial Industry Regulatory Authority, the self-regulatory organization that oversees securities brokers and advisors. This registration means she operates under FINRA's rules and compliance requirements, which govern how she can conduct business with clients, handle accounts, and provide investment advice. The CRD system maintains her licensing history and disciplinary records, creating transparency about her regulatory standing. For clients, this registration indicates she meets baseline standards for conducting securities business and is subject to ongoing oversight.