Rose Uzunova
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.
Rose Uzunova, who also goes by Rose Ognyanova Uzunova, Rositsa Ognyanova Uzunova, Rositsa Uzunova, was a registered financial professional .
Rose is a previously registered financial professional and started their career in finance in 2007. Rose had worked at 9 firms and has passed the Series 66, SIE, Series 31 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 1, 2018 - December 18, 2023
VANGUARD MARKETING CORPORATION
September 24, 2015 - December 15, 2017
HARTFORD FUNDS
September 24, 2015 - December 15, 2017
HARTFORD FUNDS DISTRIBUTORS, LLC
February 13, 2014 - September 11, 2015
BLACKROCK FUND ADVISORS
February 13, 2014 - September 11, 2015
BLACKROCK INVESTMENTS, LLC
February 4, 2011 - January 21, 2014
ALLSPRING FUNDS MANAGEMENT, LLC
February 4, 2011 - January 21, 2014
ALLSPRING FUNDS DISTRIBUTOR, LLC
July 1, 2009 - February 14, 2011
ASSOCIATED INVESTMENT SERVICES, INC.
September 18, 2007 - August 13, 2008
MORGAN STANLEY & CO. LLC
July 30, 2007 - August 13, 2008
MORGAN STANLEY & CO. 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
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
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.
