Rowena D. Ferry
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 D Ferry, who also goes by Rowena C Daniel, Rowena C Daniel-ferry, Rowena C Ferry, Rowena Daniel Ferry, was a registered financial professional .
Rowena is a previously registered financial professional and started their career in finance in 2006. Rowena had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2021 - July 1, 2026
J.W. COLE FINANCIAL, INC.
March 31, 2021 - June 10, 2021
MORGAN STANLEY
May 22, 2019 - February 26, 2021
IFP SECURITIES, LLC
May 25, 2018 - May 23, 2019
LPL FINANCIAL LLC
September 12, 2006 - April 17, 2018
INVEST FINANCIAL CORPORATION
February 21, 2006 - September 6, 2006
TRANSAMERICA FINANCIAL ADVISORS, 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
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 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.
