Nancy A. Roseman
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.
Nancy Anne Roseman was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1997. Nancy had worked at 3 firms and has passed the Series 65, 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
January 14, 2011 - May 22, 2015
CIGNA BENEFITS FINANCING, INC.
September 19, 2006 - January 20, 2011
WESTPORT FINANCIAL SERVICES, L.L.C.
February 9, 1998 - January 16, 2004
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
April 7, 1997 - February 15, 2005
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, 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
Current Firm
CIGNA BENEFITS FINANCING, INC.
CRD#: 153670 / SEC#: , 8-68563
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
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.
