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RM

Rose M. Mckesson

Some features on this profile are disabled
CRD#: 1880804
RM

Professional summary

Rose Marie Mckesson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Rose is a previously registered financial advisor and started their career in finance in 1988. Prior to being barred, Rose had worked at 10 firms, which includes WESCOM FINANCIAL SERVICES, CUSO FINANCIAL SERVICES L.P., SENTRA SECURITIES CORPORATION, CETERA WEALTH SERVICES LLC, WELLS FARGO SECURITIES INC., GRIFFIN FINANCIAL SERVICES, GLENFED BROKERAGE SERVICES, CHARLES SCHWAB & CO. INC., CAPITAL BROKERAGE CORPORATION, MORGAN STANLEY DW INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rose M Mckesson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 17, 2003 - December 16, 2004

WESCOM FINANCIAL SERVICES

RIA
CRD#: 125650
THOUSAND OAKS, CA
Past

March 11, 2002 - June 24, 2004

CUSO FINANCIAL SERVICES, L.P.

RIA
CRD#: 42132
THOUSAND OAKS, CA
Past

February 7, 2001 - June 24, 2004

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
SAN DIEGO, CA
Past

June 27, 2000 - February 5, 2001

SENTRA SECURITIES CORPORATION

BD
CRD#: 10249
PHOENIX, AZ
Past

March 22, 1999 - August 26, 1999

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

July 23, 1998 - January 14, 1999

WELLS FARGO SECURITIES INC.

BD
CRD#: 17438
SAN FRANCISCO, CA
Past

May 22, 1995 - July 2, 1998

GRIFFIN FINANCIAL SERVICES

BD
CRD#: 10823
Past

July 22, 1994 - May 12, 1995

GLENFED BROKERAGE SERVICES

BD
CRD#: 13648
GLENDALE, CA
Past

September 26, 1991 - July 25, 1994

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

July 31, 1990 - September 5, 1991

WELLS FARGO SECURITIES INC.

BD
CRD#: 17438
SAN FRANCISCO, CA
Past

March 16, 1989 - April 2, 1990

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

October 19, 1988 - March 30, 1989

MORGAN STANLEY DW INC.

BD
CRD#: 7556

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/11/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/7/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 3/1/1993
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

WF
WESCOM FINANCIAL SERVICES
WESCOM FINANCIAL SERVICES | WESCOM FINANCIAL SERVICES, LLC | WESCOM FINANCIAL SERVICES LLC

CRD#: 125650 / SEC#: 801-113359, 8-66189

BD
Terminated by SEC on 04/09/2023
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Contact information

Main Address
5601 E. La Palma Ave, Anaheim, CA 92807
Mailing Address
Phone number
888-879-0558 EXT. 5104
Established
California since 01/22/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
31

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

WESCOM FINANCIAL SERVICES FORM ADV PART 2A_DISCLOSURE 4.19.18 (3/31/2022)

Direct owners and executive officers

NamePositionCRD#
WESCOM CENTRAL CREDIT UNIONSHAREHOLDER
ALLEN, JONATHON JAMESPRESIDENT2329509
ALLEN, JONATHON JAMESCHAIRMAN2329509
LAW, CINDYFINOP5433583
NASH, DIANA LYNN REEVESCCO2664062
PIPES, KEITH BRIANDIRECTOR1577134
WILLIAMS, DARRENDIRECTOR

Regulatory assets under management

Total Number of Accounts1,138
AUM (Assets Under Management)$ 226,085,019

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.

Company Information

WESCOM FINANCIAL SERVICES

CRD#: 125650

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