Rosemary Aruanno
Professional summary
Rosemary Aruanno, who also goes by Rosemary Heaphy, is a registered financial professional currently at MAREX CAPITAL MARKETS INC. located in Garden City, New York.
Rosemary is registered as a RR (Registered Representative) and started their career in finance in 1993. Rosemary has worked at 7 firms and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Rosemary Aruanno's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 18, 2024 - Present
MAREX CAPITAL MARKETS INC.
Office #1: 1055 Franklin Avenue Suite 304, Garden City, NY 11530February 2, 2023 - December 21, 2023
TD ARRANGED SERVICES LLC
August 4, 2021 - December 21, 2023
COWEN AND COMPANY
November 1, 2010 - January 4, 2022
COWEN PRIME SERVICES LLC
September 14, 2005 - September 13, 2011
SANDERS MORRIS LLC
April 11, 1995 - February 16, 2005
CITIGROUP GLOBAL MARKETS INC.
October 25, 1993 - November 28, 1994
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Current Firm
MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
Red Flags
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