Julissa R. Majka
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.
Julissa Rubi Majka, who also goes by Julissa R Sosa, Julissa Rubi Sosa, was a registered financial professional .
Julissa is a previously registered financial professional and started their career in finance in 2001. Julissa had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2012 - October 18, 2021
DUFF & PHELPS INVESTMENT MANAGEMENT CO.
January 5, 2012 - October 18, 2021
VP DISTRIBUTORS LLC
February 25, 2010 - October 17, 2011
PNC WEALTH MANAGEMENT LLC
February 25, 2010 - October 17, 2011
PNC WEALTH MANAGEMENT LLC
February 9, 2006 - January 19, 2010
CHARLES SCHWAB & CO., INC.
February 9, 2006 - January 19, 2010
CHARLES SCHWAB & CO., INC.
June 2, 2004 - December 2, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 8, 2004 - December 2, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 5, 2001 - February 27, 2004
WILLIAM BLAIR
Primary Firm SEC Registration
DUFF & PHELPS INVESTMENT MANAGEMENT CO.
CRD#: 107296 / SEC#: 801-14813
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
Series 7TO
Date: 11/30/2022
General Securities Representative ExaminationCurrent Firm
DUFF & PHELPS INVESTMENT MANAGEMENT CO.
CRD#: 107296 / SEC#: 801-14813
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 52 |
| AUM (Assets Under Management) | $ 12,227,914,131 |
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.
