Michael G. Roseri
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.
Michael Gorman Roseri was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 12 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2011 - October 2, 2013
PLEXUS FINANCIAL SERVICES, LLC
January 8, 2010 - April 25, 2011
FINANCIAL TELESIS INC
September 8, 2009 - January 22, 2010
LPL FINANCIAL LLC
April 29, 2008 - September 8, 2009
WATERSTONE FINANCIAL GROUP, INC.
March 6, 2000 - October 23, 2006
TRANSAMERICA CAPITAL, LLC
April 1, 1998 - November 22, 1999
LASALLE FINANCIAL SERVICES, INC.
September 4, 1996 - April 8, 1998
ALLSTATE FINANCIAL SERVICES, LLC
April 26, 1996 - September 4, 1996
OSAIC FS, INC.
January 13, 1993 - March 10, 1995
CRISPIN KOEHLER SECURITIES
April 9, 1991 - July 28, 1992
COUSINS SECURITIES CORPORATION
April 11, 1988 - April 19, 1989
LEHMAN BROTHERS INC.
October 20, 1987 - April 11, 1988
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PLEXUS FINANCIAL SERVICES, LLC
CRD#: 153132 / SEC#: 801-81192, 8-68504
Contact information
Red Flags
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