Nicole M. Del Rosario
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.
Nicole Margo Del Rosario, who also goes by Nicole Margo Del Rosario, Nicole Margo Delrosario, Nicole Margo Horelick, was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 1997. Nicole had worked at 12 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2017 - August 27, 2020
KEEL POINT, LLC
March 27, 2017 - August 27, 2020
KEEL POINT CAPITAL, LLC
January 14, 2015 - March 25, 2017
SIGNATOR INVESTORS, INC.
January 12, 2015 - March 25, 2017
SIGNATOR INVESTORS, INC.
March 3, 2014 - December 22, 2014
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
December 21, 2012 - January 9, 2015
GUGGENHEIM INVESTMENTS
December 21, 2012 - March 3, 2014
GUGGENHEIM DISTRIBUTORS, LLC
March 4, 2011 - December 10, 2012
UBS FINANCIAL SERVICES INC.
December 12, 2000 - March 2, 2011
B. RILEY SECURITIES, INC.
November 12, 1997 - March 9, 2001
FERRIS, BAKER WATTS, LLC
September 5, 1997 - October 16, 1997
MERCANTILE BROKERAGE SERVICES, INC.
September 1, 1997 - January 23, 1998
DB ALEX. BROWN LLC
July 22, 1997 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
Primary Firm SEC Registration
KEEL POINT, LLC
CRD#: 127902 / SEC#: 801-62249
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 7TO
Date: 4/10/2023
General Securities Representative ExaminationCurrent Firm
KEEL POINT, LLC
CRD#: 127902 / SEC#: 801-62249
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,626 |
| AUM (Assets Under Management) | $ 3,464,607,203 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/30/2025 | ||
| 01/26/2024 | ||
| 10/25/2022 |
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.
