Rosemary Wang
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 Wang, who also goes by Mei Wang, was a registered financial professional .
Rosemary is a previously registered financial professional and started their career in finance in 2003. Rosemary had worked at 8 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 10, 2011 - December 4, 2017
AVANTAX ADVISORY SERVICES
March 10, 2011 - December 4, 2017
AVANTAX INVESTMENT SERVICES, INC.
February 21, 2007 - May 14, 2009
INVESTMENT ADVISORS INTERNATIONAL, INC.
November 13, 2006 - May 14, 2009
WORLD GROUP SECURITIES, INC.
April 14, 2005 - September 28, 2006
CITICORP INVESTMENT SERVICES
August 21, 2003 - March 10, 2005
SCOTTRADE, INC.
June 23, 2003 - August 15, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
June 6, 2003 - August 15, 2003
IDS LIFE INSURANCE COMPANY
June 6, 2003 - August 15, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
