Rosa A. Vazquez
Professional summary
Rosa Alicia Vazquez was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Rosa is a previously registered financial advisor and started their career in finance in 1988. Prior to being barred, Rosa had worked at 5 firms, which includes INTEGRITY BROKERAGE LLC, WHITE PACIFIC SECURITIES INC., ETECH SECURITIES INC., FIRST GLOBAL SECURITIES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2012 - October 19, 2015
INTEGRITY BROKERAGE, LLC
March 5, 2012 - October 19, 2015
INTEGRITY BROKERAGE, LLC
October 12, 2009 - March 9, 2012
WHITE PACIFIC SECURITIES, INC.
September 22, 2008 - October 8, 2009
ETECH SECURITIES, INC.
February 25, 2008 - July 11, 2008
FIRST GLOBAL SECURITIES, INC.
June 8, 1988 - October 24, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
INTEGRITY BROKERAGE, LLC
CRD#: 117589 / SEC#: , 8-53604
Contact information
FINRA licenses (11 States and Territories)
Disclosures
| Regulatory Event | 3 |
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