Joy Garland has been Chief Compliance Officer/Managing Partner and Co-Founder of Roan Capital Partners since January 2018, is a control person of the firm and directly owns between 50% and 75% of it.
Roan Capital Partners, LLC is a Johnson City, TN firm with $152M under management, 328 clients and 4 advisers across 2 offices, as of its August 2026 filing.
Joy Garland’s longest registration was 11 years at LPL Financial LLC (2004–2015). Before joining Roan Capital Partners in 2018, Joy Garland was registered through CWM, LLC and Gaam Wealth Advisors, Inc.
- Roan Capital PartnersCurrent– present · 8 yearsJohnson City, TN · Adviser representative · Firm CRD 293119
- CWM, LLC– · 3 yearsKingsport, TN · Adviser representative · Firm CRD 155344
- Gaam Wealth Advisors, Inc.– · 9 yearsKingsport, TN · Adviser representative · Firm CRD 140446
- Gilbert Advanced Asset Management, Inc.– · under a yearJohnson City, TN · Adviser representative · Firm CRD 122325
- LPL Financial LLC– · 11 yearsKingsport, TN · Adviser representative · Firm CRD 6413
Investment adviser representative registrations
Joy Garland is registered as an investment adviser representative in Texas, as a resident of Texas, since February 2024.
- TexasResidentSince 8 February 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 5 June 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 8 February 1996 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 18 January 1996 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Joy Lynne Garland
- CRD
- 2702796
- Firm
- Roan Capital Partners · CRD 293119
- Role
- Chief Compliance Officer/Managing Partner and Co-Founder
- Office
- 208 SUNSET DR., SUITE #504, Johnson City, TN 37604
- Registration
- Investment adviser registration
- In the industry since
- June 1996
- Disciplinary history
- Not yet shown here · SEC record
Where does Joy Garland work?
Joy Garland has been Chief Compliance Officer/Managing Partner and Co-Founder of Roan Capital Partners, LLC since January 2018, and is a control person of the firm.
Is Joy Garland a financial advisor?
Yes. Joy Garland has a current investment-adviser registration in Texas, through Roan Capital Partners since April 2018.
How many years of experience does Joy Garland have?
Joy Garland has 30 years in the financial industry, since June 1996, across 5 adviser firms.
What exams has Joy Garland passed?
Joy Garland has passed 3 licensing exams: the Series 6, Series 63 and Series 7. The earliest, the Series 6, was passed in January 1996. FINRA credited Joy Garland with the SIE, which began in October 2018.
Where did Joy Garland work before Roan Capital Partners?
Before Roan Capital Partners, Joy Garland was registered through CWM, LLC, August 2014 to February 2018; Gaam Wealth Advisors, Inc., November 2006 to July 2016; Gilbert Advanced Asset Management, Inc., June 2004 to December 2004; LPL Financial LLC, March 2004 to October 2015.
Where is Joy Garland based?
Joy Garland’s registered office is in Johnson City, TN.
Is Joy Garland registered with FINRA?
No. Joy Garland has no current broker registration.
How can I verify Joy Garland’s record?
Search CRD 2702796 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Joy Garland’s full registration record.