# Amy Austin Roxin

Amy Austin Roxin is an investment adviser representative (IAR) with state registration records since 2006, appearing at 6 firms. Currently registered with PRINCIPAL SECURITIES, INC..

## Registration history (7)

| Firm | From | To | Current |
| --- | --- | --- | --- |
| [PRINCIPAL SECURITIES, INC.](https://search.stillhousedata.com/firm/1137) | 2023-10-30 | present | Yes |
| [LPL FINANCIAL LLC](https://search.stillhousedata.com/firm/6413) | 2022-06-15 | 2023-09-27 | — |
| [KEY INVESTMENT SERVICES LLC](https://search.stillhousedata.com/firm/136300) | 2016-09-21 | 2021-12-07 | — |
| [LPL FINANCIAL LLC](https://search.stillhousedata.com/firm/6413) | 2012-05-15 | 2016-09-21 | — |
| [HSBC SECURITIES (USA) INC.](https://search.stillhousedata.com/firm/19585) | 2010-02-08 | 2012-05-15 | — |
| [MORGAN STANLEY & CO. LLC](https://search.stillhousedata.com/firm/8209) | 2007-04-02 | 2008-06-24 | — |
| [MORGAN STANLEY DW INC.](https://search.stillhousedata.com/firm/7556) | 2006-10-18 | 2007-04-02 | — |

## More

- [This representative on SEC IAPD (source of record)](https://adviserinfo.sec.gov/individual/summary/1879054)
- [This page as markdown (for LLM agents)](https://search.stillhousedata.com/rep/1879054.md)
- [Search all SEC filings, advisers and people on Adviser Search](https://search.stillhousedata.com/)

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Source: public SEC filing data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.