Rosa C. Marmol Peralta
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 C Marmol Peralta, who also goes by Rosa Cecilia Marmol, Rosa C Marmol De Peralta, Rosa Marmol De Peralta, Rosa Cecilia Peralta, was a registered financial professional .
Rosa is a previously registered financial professional and started their career in finance in 2005. Rosa had worked at 2 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2016 - December 31, 2019
VOYA FINANCIAL PARTNERS, LLC
March 4, 2005 - February 19, 2009
VOYA RETIREMENT ADVISORS, 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
VOYA FINANCIAL PARTNERS, LLC
CRD#: 34815 / SEC#: 801-57637, 8-46451
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
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.
