Rosemary Cox-collins

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CRD#: 4317148

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.

Rosemary Cox-collins, CFP® was a registered financial professional .

Rosemary is a previously registered financial professional and started their career in finance in 2000. Rosemary had worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

1. 2/26/2013 - TEAM FINANCIAL, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 3/4/2015 - No Business Name - Not Investment Related - OTHER-COMMERCIAL PILOT - Started 02/23/2015 - 1 Hour Per Month During Securities Trading - Holds several FAA certificates (ATP, commercial glider, flight instructor, flight engineer-turbojet). 3. 1/31/2019 - Team Financial LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Started 12/2012 - 16 Hours Per Month - Time Spent 10% - I provide financial planning and consulting services through Team Financial LLC, an independent investment advisor firm. I started this business activity in 12/2012. I expect to spend approximately 16 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The advisory firm is separate from and independent of LPL Financial. 4. 11/14/2019 - TEAM FINANCIAL LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 05/20/2019 - 8 Hours Per Month/0 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CRD#: 6413

WEST END, NC

Past

October 1, 2003 - July 22, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

HAMPTON, NH

Past

December 21, 2000 - July 22, 2005

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

December 21, 2000 - July 22, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/10/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/20/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/30/2003

General Securities Principal Examination

Current Firm

TEAM FINANCIAL LLC

CRD#: 166343 / SEC#:

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Contact information

Main Address

West End, NC

Mailing Address

Phone number

(910) 400-5194

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Rosemary Cox-collins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TEAM FINANCIAL LLC

TEAM FINANCIAL LLC

GULFSTREAM FINANCIAL GROUP LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/10/2001

SIE

Date: 10/1/2018

Series 7

Date: 12/20/2000

Series 24

Date: 12/30/2003

Current Firm

TEAM FINANCIAL LLC

Contact information

Documents

Red Flags

Company Information

TEAM FINANCIAL LLC

TRUST BUT VERIFY

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