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MR

Meaghan M. Rumsey

Some features on this profile are disabled
CRD#: 3067639
MR

Professional summary

Meaghan Mary Rumsey was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Meaghan is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Meaghan had worked at 8 firms, which includes IFS SECURITIES, CADARET GRANT & CO. INC., BANC OF AMERICA INVESTMENT SERVICES INC., QUICK & REILLY INC., PGIM INC., PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC, PRUDENTIAL EQUITY GROUP LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 10, 2015 - March 8, 2016

IFS SECURITIES

BD
CRD#: 40375
Red Hook, NY
Past

January 11, 2011 - December 31, 2015

CADARET, GRANT & CO., INC.

RIA
CRD#: 10641
RED HOOK, NY
Past

August 17, 2009 - December 31, 2015

CADARET, GRANT & CO., INC.

BD
CRD#: 10641
RED HOOK, NY
Past

October 20, 2004 - April 16, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
YONKERS, NY
Past

October 20, 2004 - April 16, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
YONKERS, NY
Past

July 8, 2004 - October 20, 2004

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

July 6, 2004 - October 20, 2004

QUICK & REILLY, INC.

RIA
CRD#: 11217
WHITE PLAINS, NY
Past

February 24, 2003 - June 24, 2004

PGIM, INC.

RIA
CRD#: 105676
NEWARK, NJ
Past

May 23, 2002 - June 24, 2004

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

April 4, 2001 - April 23, 2002

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

July 6, 1999 - May 2, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 11/8/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/14/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/8/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/16/1999
General Securities Representative Examination

Current Firm

IS
IFS SECURITIES
ALZAID FINANCIAL SERVICES, INC. | INTERNATIONAL FINANCIAL SOLUTIONS, INC. | IFS SECURITIES, INC | IFS SECURITIES | IFS EQUITY | IFS CAPITAL MARKETS | IFS ADVISORY, LLC

CRD#: 40375 / SEC#: , 8-49020

BD
Terminated by SEC on 02/28/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
Pennsylvania since 09/21/1993
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
IFS GROUP, INC.FOREIGN ENTITY/DIRECT OWNER
MCKENZIE, ALEXYS ULANDOCEO/OWNER2642827
SADLER, JOQUINN THOMASCHIEF COMPLIANCE OFFICER / CHIEF OPERATIONS OFFICER2817763

Disclosures

Regulatory Event3
Arbitration1
Financial1

Red Flags

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Company Information

IFS SECURITIES

CRD#: 40375

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