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RT

Rosana I. Trippany

LPL FINANCIAL LLC
Rochester, NY 14612
Some features on this profile are disabled
CRD#: 2260750
RT

Professional summary

Rosana I Trippany, who also goes by Rosana IVanna Gallucci, is a registered financial professional currently at LPL FINANCIAL LLC located in Rochester, New York and ESL INVESTMENT SERVICES, LLC located in Rochester, New York.

Rosana is registered as a RR (Registered Representative) and started their career in finance in 1992. Rosana has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rosana Ivanna Gallucci

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) - BD

Click below to view Rosana I Trippany's CRS (Customer Relationship Summary).

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

Current

April 27, 2015 - Present

LPL FINANCIAL LLC

Office #1: 3177 Latta Road Ste 10, Rochester, NY 14612Office #2: 225 Chestnut St, Rochester, NY 14604
RIA
BD
CRD#: 6413
Rochester, NY
Current

July 14, 2015 - Present

ESL INVESTMENT SERVICES, LLC

Office #1: 225 Chestnut Street, Rochester, NY 14604-2424Office #2: 3177 Latta Road, Suite 10, Rochester, NY 14612
BD
CRD#: 139176
Rochester, NY
Past

June 1, 1993 - August 17, 1999

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA
Past

December 21, 1992 - June 1, 1993

TEMPLETON FUNDS DISTRIBUTOR, INC.

BD
CRD#: 3329
ST. PETERSBURG, FL

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(6/15/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 6/15/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 4/27/2015
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

EI
ESL INVESTMENT SERVICES, LLC
ESL INVESTMENT SERVICES, LLC

CRD#: 139176 / SEC#: , 8-67195

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
225 Chestnut Street, Rochester, NY 14604
Mailing Address
225 Chestnut Street, Rochester, NY 14604
Phone number
(585) 339-4475
Established
New York since 04/24/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ESL HOLDCO LLCOWNER
DONAHOE, JOELLE LAURENCCO, AMLCO AND COMPLIANCE MANAGER2678810
IACOBELLI, LEOPRESIDENT/COO/EXECUTIVE REP1717602
ROCHE, PASCAL AFINOP/ PFO/ POO5920968

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

ESL INVESTMENT SERVICES, LLC

CRD#: 139176Rochester, NY 14612

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