Rosemary E. Delvecchio
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 Edith Delvecchio, who also goes by Rosemary Simmons, was a registered financial professional .
Rosemary is a previously registered financial professional and started their career in finance in 1994. Rosemary had worked at 9 firms and has passed the 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
August 1, 2013 - April 15, 2016
QUESTAR CAPITAL CORPORATION
June 5, 2009 - July 23, 2012
NYLIFE SECURITIES LLC
April 28, 2006 - February 20, 2009
CUSO FINANCIAL SERVICES, L.P.
September 20, 2004 - February 20, 2009
CUSO FINANCIAL SERVICES, L.P.
June 11, 2002 - October 5, 2004
CETERA WEALTH SERVICES, LLC
April 9, 1998 - October 5, 2004
CETERA WEALTH SERVICES, LLC
March 7, 1997 - January 6, 1998
WELLS FARGO SECURITIES INC.
February 1, 1996 - March 11, 1997
MM ASCEND LIFE INVESTOR SERVICES, LLC
July 31, 1995 - February 13, 1996
ARM SECURITIES CORPORATION
May 10, 1994 - July 17, 1995
IDS LIFE INSURANCE COMPANY
May 10, 1994 - July 17, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
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
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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