Rosemary Conlon
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.
Rosemary Conlon, who also goes by Rosemary Theresa Colon, Rosemary T Conlon, Rosemary Theresa Conlon, Rosemary Conlon, was a registered financial professional .
Rosemary is a previously registered financial professional and started their career in finance in 1992. Rosemary had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2022 - March 24, 2023
FRANKLIN DISTRIBUTORS, LLC
January 10, 2020 - December 4, 2021
J.P. MORGAN SECURITIES LLC
December 5, 2019 - December 4, 2021
J.P. MORGAN SECURITIES LLC
September 2, 2008 - January 6, 2020
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
December 12, 2007 - March 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 3, 2001 - June 22, 2007
BNY MELLON SECURITIES CORPORATION
March 18, 1998 - July 2, 2001
UBS FINANCIAL SERVICES INC.
March 11, 1997 - February 26, 1998
UBS ASSET MANAGEMENT (US) INC.
July 26, 1994 - September 6, 1996
PRUDENTIAL EQUITY GROUP, LLC
April 14, 1992 - July 25, 1994
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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