Gayle S. Rosewell
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.
Gayle S G Rosewell, CFP®, who also goes by Gayle S Rosewell, was a registered financial professional .
Gayle is a previously registered financial professional and started their career in finance in 1997. Gayle had worked at 3 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2004
Experience
May 28, 2021 - July 20, 2026
STRATOS WEALTH ADVISORS LLC
January 27, 2012 - June 8, 2021
UBS FINANCIAL SERVICES INC.
January 27, 2012 - June 8, 2021
UBS FINANCIAL SERVICES INC.
January 4, 2002 - January 30, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 11, 1997 - January 30, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
STRATOS WEALTH ADVISORS LLC
CRD#: 283816 / SEC#: 801-108211
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
STRATOS WEALTH ADVISORS LLC
CRD#: 283816 / SEC#: 801-108211
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,432 |
| AUM (Assets Under Management) | $ 4,905,828,030 |
Red Flags
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