Rosemary Fairhead
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 Fairhead, who also goes by Rosemary Fairhead Takacs, Rosemary Takacs, was a registered financial professional .
Rosemary is a previously registered financial professional and started their career in finance in 1985. Rosemary had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 53, Series 24, Series 4 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2004 - March 31, 2016
CARDINAL INVESTMENTS, INC.
October 21, 2003 - May 24, 2004
DEUTSCHE BANK SECURITIES INC.
August 17, 2001 - June 27, 2003
SCUDDER FINANCIAL SERVICES, INC.
May 24, 2000 - June 1, 2004
DWS INVESTMENT MANAGEMENT AMERICAS, INC.
January 3, 2000 - October 21, 2003
DEAM INVESTOR SERVICES, INC.
August 4, 1997 - January 4, 2000
CARDINAL INVESTMENTS, INC.
December 1, 1992 - August 5, 1997
LPL FINANCIAL LLC
February 11, 1987 - December 1, 1992
WALNUT STREET SECURITIES, INC.
June 17, 1986 - April 24, 1987
NBD BROKERAGE SERVICES, INC.
March 20, 1985 - April 15, 1985
NF CLEARING, 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
Current Firm
CARDINAL INVESTMENTS, INC.
CRD#: 36838 / SEC#: , 8-47493
Contact information
FINRA licenses (12 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
