Carol A. Rosenstock
Professional summary
Carol A. Rosenstock, who also goes by Carol Ann Feucht, Carol Ann Feucht, Carol Ann Miller, Carol Ann Miller, Carol Ann Rosenstock, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Waunakee, Wisconsin.
Carol is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Carol has worked at 12 firms and has passed the Series 63, Series 65, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Carol A. Rosenstock's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carol A. Rosenstock's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 3, 2021 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 3, 2021 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 11, 2021 - May 26, 2021
J.P. MORGAN SECURITIES LLC
January 8, 2021 - May 26, 2021
J.P. MORGAN SECURITIES LLC
September 22, 2020 - December 18, 2020
BELPOINTE ASSET MANAGEMENT LLC
January 28, 2020 - August 18, 2020
BELPOINTE ASSET MANAGEMENT LLC
January 19, 2018 - August 16, 2019
MORGAN STANLEY
January 19, 2018 - August 16, 2019
MORGAN STANLEY
November 9, 2011 - August 25, 2017
THREE LAKES SECURITIES, LLC
November 9, 2011 - August 24, 2017
COORDINATED CAPITAL SECURITIES, INC.
November 9, 2011 - August 25, 2017
THREE LAKES SECURITIES, LLC
November 1, 2011 - August 24, 2017
COORDINATED CAPITAL SECURITIES, INC.
July 18, 2008 - December 31, 2009
MML INVESTORS SERVICES, LLC
July 18, 2008 - December 31, 2009
MML INVESTORS SERVICES, LLC
February 22, 2005 - May 5, 2008
ASSOCIATED INVESTMENT SERVICES, INC.
October 30, 2003 - February 24, 2005
TCF INVESTMENTS, INC.
November 1, 2002 - October 3, 2003
BANC ONE SECURITIES CORPORATION
September 13, 2002 - October 3, 2003
BANC ONE SECURITIES CORPORATION
August 1, 2000 - January 8, 2003
M&I INVESTMENT MANAGEMENT CORP.
January 24, 2000 - September 24, 2002
M&I FINANCIAL ADVISORS, INC
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/12/2021)
(8/31/2021)
(4/28/2025)
(7/12/2021)
(6/3/2021)
(6/4/2021)
(7/12/2021)
(7/22/2022)
(1/9/2025)
(7/12/2021)
(7/12/2021)
(7/12/2021)
(7/12/2021)
(7/12/2021)
(8/6/2021)
(3/1/2022)
(4/28/2025)
(7/12/2021)
(7/12/2021)
(7/12/2021)
(7/26/2021)
(7/12/2021)
(9/14/2023)
(7/12/2021)
(7/12/2021)
(7/12/2021)
(7/12/2021)
(7/12/2021)
(6/3/2021)
(6/3/2021)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
