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Roseann Wang

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CRD#: 4570282
RW

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.

Roseann Wang was a registered financial professional .

Roseann is a previously registered financial professional and started their career in finance in 2004. Roseann had worked at 3 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

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®
None

Experience

Past

March 13, 2012 - October 3, 2013

NORTH SEA SECURITIES L.P.

BD
CRD#: 35530
NEW YORK, NY
Past

September 25, 2007 - May 21, 2010

MTS SECURITIES, LLC

BD
CRD#: 104059
NEW YORK, NY
Past

September 14, 2004 - August 3, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SAN FRANCISCO, CA

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
RR
Series 63
Date: 8/18/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/13/2004
General Securities Representative Examination

Current Firm

NS
NORTH SEA SECURITIES L.P.
NORTH SEA SECURITIES L.P. | OAKES, FITZWILLIAMS & CO. L.P. | OAKES, FITZWILLIAMS & CO. INC.

CRD#: 35530 / SEC#: , 8-47071

BD
Terminated by SEC on 06/30/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 05/20/1994
Firm type
Partnership
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
NSS GP LLCDIRECT OWNER
NORTH SEA PARTNERS LLCPARTNER
CALDER, JONATHAN DPRESIDENT, CEO, CCO2124192
DANIELS, RICHARD MATTHEWFINOP5877964

Disclosures

Regulatory Event2

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.

Company Information

NORTH SEA SECURITIES L.P.

CRD#: 35530

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