Rosemary Bragan
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.
Rosemary Bragan, who also goes by Rosemary Murray, was a registered financial professional .
Rosemary is a previously registered financial professional and started their career in finance in 1999. Rosemary had worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2016 - March 13, 2023
ICAPITAL MARKETS LLC
November 13, 2014 - October 5, 2016
FINANCIAL PRODUCTS, LLC
December 11, 2013 - November 20, 2014
SIGNATOR INVESTORS, INC.
September 18, 2002 - October 1, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 4, 1999 - September 6, 2002
SIGNATOR INVESTORS, 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
ICAPITAL MARKETS LLC
CRD#: 118219 / SEC#: , 8-53640
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
