Theresa M. Rosen
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.
Theresa Mary Rosen, CFP®, who also goes by Terri Lima, Theresa Mary Lima, Terri Rosen, was a registered financial professional .
Theresa is a previously registered financial professional and started their career in finance in 1986. Theresa had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Services Offered
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1991
Experience
March 22, 2004 - October 30, 2023
PRUDENCE FINANCIAL, INC.
August 18, 2000 - December 31, 2025
COMMONWEALTH FINANCIAL NETWORK
September 20, 1993 - December 31, 2025
COMMONWEALTH FINANCIAL NETWORK
March 16, 1993 - October 4, 1993
G.R. STUART & COMPANY, INC.
February 27, 1990 - March 16, 1993
FINANCIAL SECURITIES NETWORK,INC.
May 5, 1988 - August 29, 1989
INVESTACORP, INC.
October 24, 1986 - February 23, 1988
UR FINANCIAL, 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
PRUDENCE FINANCIAL, INC.
CRD#: 127649 / SEC#:
Contact information
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.
