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RB

Rosemarie C. Budd

WORLD CAPITAL BROKERAGE
Dallas, TX 75243
Some features on this profile are disabled
CRD#: 3176716
RB

Professional summary

Rosemarie C Budd, who also goes by Jojo Budd, Rosamaria Cagape Budd, Rosemarie C. Budd, Rosemarie Budd, Rosamaria Cagape, is a registered financial professional currently at WORLD CAPITAL BROKERAGE, INC. located in Dallas, Texas.

Rosemarie is registered as a RR (Registered Representative) and started their career in finance in 1999. Rosemarie has worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jojo Budd | Rosamaria Cagape Budd | Rosemarie C. Budd | Rosemarie Budd | Rosamaria Cagape

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) - BD

Click below to view Rosemarie C Budd's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

May 1, 2023 - Present

WORLD CAPITAL BROKERAGE, INC.

Office #1: 12225 Greenville Avenue Suite 700, Dallas, TX 75243
BD
CRD#: 37
Dallas, TX
Past

April 23, 2018 - May 2, 2023

MCNALLY FINANCIAL SERVICES CORPORATION

BD
CRD#: 121196
Dallas, TX
Past

March 8, 2016 - June 30, 2017

FORESTERS EQUITY SERVICES, INC.

BD
CRD#: 18464
SAN DIEGO, CA
Past

January 10, 2013 - March 24, 2014

COLORADO FINANCIAL SERVICE CORPORATION

BD
CRD#: 104343
CENTENNIAL, CO
Past

August 11, 2010 - December 31, 2011

GREAT NATION INVESTMENT CORPORATION

BD
CRD#: 19981
AMARILLO, TX
Past

January 9, 2008 - August 6, 2010

UNITED EQUITY SECURITIES, LLC

BD
CRD#: 47261
HUSTON, TX
Past

April 30, 2007 - December 31, 2007

CCF INVESTMENTS, INC.

BD
CRD#: 136571
GREENSBORO, GA
Past

January 27, 2005 - June 7, 2007

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
DULUTH, GA
Past

January 30, 2003 - January 14, 2005

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
DULUTH, GA
Past

April 12, 2002 - December 17, 2002

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
DULUTH, GA
Past

May 18, 1999 - April 12, 2002

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Texas
(5/1/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 4/19/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 5/17/1999
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WORLD CAPITAL BROKERAGE, INC.
WORLD CAPITAL BROKERAGE, INC.
A.G.F. SPONSORS, INC. | WORLD CAPITAL BROKERAGE, INC. | AMERICAN GROWTH FUND SPONSORS, INC.

CRD#: 37 / SEC#: , 8-6805

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
1636 N. Logan Street, Denver, CO 80203
Mailing Address
1636 N. Logan Street, Denver, CO 80203
Phone number
(303) 626-0631
Established
Colorado since 07/18/1958
Firm type
Corporation
Fiscal year end
May
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AGF HOLDINGS INC.OWNER
BLUM, PATRICIA ANNVICE PRESIDENT4467584
GAUGHAN, MICHAEL LAWRENCEVICE PRESIDENT, SECRETARY2915597
TAGGART, TIMOTHY EUGENECHIEF FINANCIAL OFFICER, PRESIDENT, CHIEF COMPLIANCE OFFICER, TREASURER, SALES, MARKETING, TRAINING & DIRECTOR1075525

Disclosures

Regulatory Event3

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.

Company Information

WORLD CAPITAL BROKERAGE, INC.

WORLD CAPITAL BROKERAGE, INC.

CRD#: 37Dallas, TX 75243

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