Roseann Bunshaft
Professional summary
Roseann Bunshaft was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Roseann is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Roseann had worked at 5 firms, which includes GILFORD SECURITIES INCORPORATED, WELLS FARGO CLEARING SERVICES LLC, A. G. EDWARDS & SONS INC., PRUDENTIAL EQUITY GROUP LLC, MORGAN STANLEY DW INC..
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Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2009 - October 19, 2010
GILFORD SECURITIES INCORPORATED
January 1, 2008 - December 9, 2009
WELLS FARGO CLEARING SERVICES, LLC
September 15, 2006 - January 3, 2008
A. G. EDWARDS & SONS, INC.
July 1, 2003 - September 18, 2006
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
June 23, 1999 - June 4, 2001
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
GILFORD SECURITIES INCORPORATED
CRD#: 8076 / SEC#: , 8-24230
Contact information
Documents
Disclosures
| Regulatory Event | 21 |
| Arbitration | 29 |
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