Rosalie Garner
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.
Rosalie Garner was a registered financial professional .
Rosalie is a previously registered financial professional and started their career in finance in 1993. Rosalie had worked at 1 firm and has passed the Series 63 and Series 15 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, 1994 - January 30, 1995
K MICHAEL & COMPANY
September 30, 1993 - January 26, 1994
K MICHAEL & COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 15
Date: 9/22/1993
Foreign Currency Options ExaminationCurrent Firm
K MICHAEL & COMPANY
CRD#: 17881 / SEC#: , 8-35649
Contact information
Documents
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.
