Rosa E. Berg
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.
Rosa Emilia Berg, who also goes by Rosa Emilia Garcia, Rosa Emilia Garcia-vela, was a registered financial professional .
Rosa is a previously registered financial professional and started their career in finance in 1995. Rosa had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2018 - September 26, 2018
SLD AMERICA EQUITIES, INC.
March 21, 2007 - September 26, 2018
VOYA FINANCIAL PARTNERS, LLC
January 2, 2004 - March 20, 2007
SLD AMERICA EQUITIES, INC.
September 20, 2001 - January 28, 2002
VOYA FINANCIAL PARTNERS, LLC
November 5, 1999 - December 31, 2003
VOYA FINANCIAL ADVISORS, INC.
March 26, 1998 - February 10, 1999
AMERICAN GENERAL EQUITY SERVICES CORPORATION
July 10, 1996 - January 23, 1998
U.S. BANCORP INVESTMENTS, INC.
July 18, 1995 - July 3, 1996
BANC ONE SECURITIES CORPORATION
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
SLD AMERICA EQUITIES, INC.
CRD#: 36259 / SEC#: , 8-47089
Contact information
FINRA licenses (46 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITY LIFE OF DENVER INSURANCE COMPANY | PARENT OF BROKER/DEALER | |
| ANDERSON, KELLY MARIE | DEPUTY COMPLIANCE OFFICER | 1819119 |
| BURNS, BRANDI JO | PRESIDENT | 5862366 |
| DIXIT, ANURAKT | CHAIR/DIRECTOR | 8029030 |
| ESLINGER, CHAD MICHAEL | CHIEF COMPLIANCE OFFICER | 4182299 |
| KILIAN, CONRAD JOHANN | FINANCIAL AND OPERATIONS PRINCIPAL | 6214509 |
| SOCHA, KEVIN ROBERT | DIRECTOR | 7241694 |
| WIESE, AMY JO | DIRECTOR | 5928677 |
Disclosures
| Regulatory Event | 1 |
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.
