Rosanna N. Miall
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.
Rosanna Narciso Miall, who also goes by Rosanna Miall, Rosanna Narciso Miall, Rosanna Miall, Rosanna Quiamabo Narciso, Rosanna Quiambao Narciso, Rose Narciso, was a registered financial professional .
Rosanna is a previously registered financial professional and started their career in finance in 1989. Rosanna had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2014 - May 31, 2019
MORGAN STANLEY & CO. LLC
January 18, 2002 - November 5, 2012
THINKEQUITY LLC
January 10, 2001 - April 2, 2001
H.C.WAINWRIGHT & CO., LLC
March 1, 2000 - June 14, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 9, 1999 - February 2, 2000
GOLDMAN SACHS & CO. LLC
April 29, 1998 - September 15, 1999
PERSHING LLC
September 1, 1997 - April 24, 1998
DB ALEX. BROWN LLC
July 26, 1989 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
June 12, 1989 - July 27, 1989
PRUDENTIAL EQUITY GROUP, LLC
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
Current Firm
MORGAN STANLEY & CO. LLC
CRD#: 8209 / SEC#: , 8-15869
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| BERKE, MATTHEW EVAN | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2524594 |
| BHAIMIA, ISMAIL OMAR | DIRECTOR | 6264162 |
| DAMAST, EVAN SCOTT | DIRECTOR | 3198635 |
| HENNESSEY, JACQUELINE A | TEXAS DESIGNATED PRINCIPAL | 2194034 |
| HIRSHORN, WILLIAM DAVID | PRINCIPAL OPERATIONS OFFICER | 1564223 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
| Regulatory Event | 487 |
| Civil Event | 5 |
| Arbitration | 56 |
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.
