Jennifer L. Rousseau
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.
Jennifer Leigh Rousseau, who also goes by Jennifer Leigh Rooze, was a registered financial professional .
Jennifer is a previously registered financial professional and started their career in finance in 2011. Jennifer had worked at 2 firms and has passed the Series 65, Series 99 and Series 11 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2013 - May 21, 2015
DMKC ADVISORY SERVICES, LLC
February 15, 2011 - May 21, 2015
D.M. KELLY & COMPANY
Primary Firm SEC Registration
DMKC ADVISORY SERVICES, LLC
CRD#: 145112 / SEC#: 801-68395
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
Series 11
Date: 2/14/2011
Assistant Representative-Order Processing Qualification ExamCurrent Firm
DMKC ADVISORY SERVICES, LLC
CRD#: 145112 / SEC#: 801-68395
Contact information
SEC notice filing (15 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 818 |
| AUM (Assets Under Management) | $ 668,680,393 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/18/2025 | ||
| 09/20/2023 |
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.
