Rosemary Mcginley
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 Mcginley, who also goes by Rosemary Mccloskey, Rosie Mcginley, was a registered financial professional .
Rosemary is a previously registered financial professional and started their career in finance in 2001. Rosemary had worked at 6 firms and has passed the Series 65, Series 63 and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2013 - November 8, 2017
SECURIAN FINANCIAL SERVICES, INC.
December 5, 2013 - November 8, 2017
SECURIAN FINANCIAL SERVICES, INC.
September 24, 2011 - November 15, 2012
OSAIC INSTITUTIONS, INC.
September 24, 2011 - November 15, 2012
OSAIC INSTITUTIONS, INC.
February 23, 2010 - September 26, 2011
MORGAN STANLEY
February 23, 2010 - September 26, 2011
MORGAN STANLEY
September 2, 2008 - February 23, 2010
CITIGROUP GLOBAL MARKETS INC.
February 1, 2007 - March 19, 2010
CITIGROUP GLOBAL MARKETS INC.
May 19, 2004 - January 26, 2007
SECURIAN FINANCIAL SERVICES, INC.
January 12, 2004 - February 20, 2004
RYAN BECK & CO.
June 20, 2001 - November 5, 2002
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296 / SEC#: 801-45152, 8-31955
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| CARPENTER, KIMBERLY KAY | MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF | 4266541 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| OBRIEN, KERI SUE | SECRETARY | 6821352 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2023 |
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.
