Rowena Dasgupta
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.
Rowena Dasgupta was a registered financial professional .
Rowena is a previously registered financial professional and started their career in finance in 2004. Rowena had worked at 5 firms and has passed the Series 63, SIE, Series 55 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
November 4, 2013 - August 30, 2016
BANCO VOTORANTIM SECURITIES, INC.
May 15, 2013 - October 25, 2013
FATOR SECURITIES LLC
March 1, 2007 - November 26, 2012
RAYMOND JAMES & ASSOCIATES, INC.
May 17, 2006 - February 27, 2007
AGORA SECURITIES CORP.
November 11, 2004 - April 21, 2006
BANIF SECURITIES INC
July 27, 2004 - October 25, 2004
BANIF SECURITIES 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
Series 55
Date: 3/19/2004
Limited Representative-Equity Trader ExamCurrent Firm
BANCO VOTORANTIM SECURITIES, INC.
CRD#: 139788 / SEC#: , 8-67258
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANCO VOTORANTIM S.A. | PARENT | |
| AZEVEDO, ALVARO JORGE FONTES DE | DIRECTOR | 6077909 |
| BONZANINI, PAULO EUCLIDES | DIRECTOR | 6739868 |
| BRITTO, FELIPE BULCAO L. | CCO | 4287953 |
| BRITTO, FELIPE BULCAO L. | PRESIDENT, CEO | 4287953 |
| DOS SANTOS, ELCIO JORGE | DIRECTOR | 6736517 |
| FAJNZYLBER, RICARDO ABRAHAO | DIRECTOR | 6741022 |
| PORTNOFF, DAVID ROSS | FINOP, CFO | 2977967 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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