Rosemary A. Depalma
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.
Rosemary Ann Depalma, who also goes by Rosemary Ann Depalma, Rosemary Depalma, was a registered financial professional .
Rosemary is a previously registered financial professional and started their career in finance in 1986. Rosemary had worked at 15 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 3, Series 7, Series 9, Series 14, Series 10, Series 4, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2023 - December 10, 2024
CARTA CAPITAL MARKETS, LLC
August 29, 2021 - December 11, 2023
CARTA SECURITIES, LLC
June 22, 2020 - July 31, 2020
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
January 25, 2007 - December 31, 2010
COMPUTERSHARE SECURITIES CORPORATION
May 24, 2006 - December 9, 2019
GEORGESON SECURITIES CORPORATION
October 19, 2004 - April 17, 2006
AVANTAX ADVISORY SERVICES
May 3, 2004 - March 1, 2006
AVANTAX INVESTMENT SERVICES, INC.
February 6, 2003 - March 1, 2004
MORGAN STANLEY DW INC.
April 2, 1997 - November 14, 2002
INVESCO DISTRIBUTORS, INC.
October 15, 1996 - February 28, 1997
D.H. HILL SECURITIES, LLLP
November 28, 1994 - May 23, 1996
WELLS FARGO CLEARING SERVICES, LLC
July 31, 1993 - December 7, 1994
CITIGROUP GLOBAL MARKETS INC.
May 14, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
August 25, 1987 - May 14, 1988
E. F. HUTTON & COMPANY INC
September 24, 1986 - March 30, 1987
TIJA MANAGEMENT, 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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 6/8/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CARTA CAPITAL MARKETS, LLC
CRD#: 304751 / SEC#: , 8-70396
Contact information
Documents
Red Flags
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