Rosa B. Haro
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.
Rosa Bony Haro, who also goes by Bony Haro, Rosa Bony Haro, Rosa Haro, Rosa Bony Quinones, was a registered financial professional .
Rosa is a previously registered financial professional and started their career in finance in 2001. Rosa had worked at 15 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2019 - April 25, 2019
ALLSTATE FINANCIAL SERVICES, LLC
March 2, 2018 - December 10, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 2, 2018 - December 10, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 28, 2015 - May 16, 2017
CAPITAL ONE ADVISORS, LLC
January 2, 2015 - May 16, 2017
CAPITAL ONE INVESTING, LLC
March 13, 2014 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
February 24, 2014 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
March 26, 2013 - April 3, 2013
MML INVESTORS SERVICES, LLC
July 27, 2010 - February 5, 2013
NYLIFE SECURITIES LLC
May 19, 2008 - January 12, 2010
HSBC SECURITIES (USA) INC.
May 19, 2008 - January 12, 2010
HSBC SECURITIES (USA) INC.
December 9, 2005 - April 11, 2008
CHASE INVESTMENT SERVICES CORP.
December 9, 2005 - April 11, 2008
CHASE INVESTMENT SERVICES CORP.
April 13, 2005 - September 22, 2005
OSAIC FA, INC.
March 30, 2005 - September 22, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 30, 2005 - September 22, 2005
OSAIC FA, INC.
January 26, 2002 - March 21, 2005
METROPOLITAN LIFE INSURANCE COMPANY
January 26, 2002 - March 21, 2005
MSI FINANCIAL SERVICES, INC.
February 21, 2001 - October 10, 2001
CITICORP INVESTMENT SERVICES
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
Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
