RA
Rosaline Alam
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CRD#: 5742202
RA
Professional summary
Rosaline Alam was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Rosaline is a previously registered financial professional and started their career in finance in 2010. Prior to being barred, Rosaline had worked at 5 firms, which includes LINCOLN INVESTMENT, CAPITAL ANALYSTS, PRUCO SECURITIES LLC., NYLIFE SECURITIES LLC, WADDELL & REED.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rosaline Alrachid
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.
BOOKKEEPING/ACCOUNTING/CONSULTING POSITION: Consultant NATURE: Bookkeeping/Accounting/Consulting INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2019 ADDRESS: 16921 Durham Dr, Yorba Linda CA 92886, United States DESCRIPTION: Aiding clients with tax prep, answering business questions they may have. Gathering information and paperwork. MY KARMA ENTERPRISES LLC POSITION: CEO NATURE: Real Estate - Investment Properties/Rentals INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2020 ADDRESS: 16921 Durham Dr., Yorba Linda CA 92886, United States DESCRIPTION: Collect rent, mail out mortgage check and HOA check AUTHOR POSITION: Author of my memoir. Promoting and selling my book. NATURE: Book sale INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 12/20/2023 ADDRESS: 16921 Durham Dr., YORBA LINDA CA 92886, United States DESCRIPTION: Promoting and selling book through amazon, Barnes & Noble, book fairs ELEGANT EXPERIENCES EVENT PLANNING POSITION: Business owner, This is not a corporation or LLC. NATURE: Party, event, wedding decorations INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 12/15/2023 ADDRESS: 16921 Durham Dr., YORBA LINDA CA 92886, United States DESCRIPTION: Book events, decorate backdrops, table settings, order desserts.
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®
NoneExperience
Past
October 9, 2023 - April 10, 2024
LINCOLN INVESTMENT
RIA
CRD#: 519
Claremont, CA
Past
October 9, 2023 - April 10, 2024
CAPITAL ANALYSTS
RIA
CRD#: 162200
Claremont, CA
Past
October 9, 2023 - April 10, 2024
LINCOLN INVESTMENT
BD
CRD#: 519
Claremont, CA
Past
September 23, 2016 - October 11, 2023
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Claremont, CA
Past
August 18, 2016 - October 11, 2023
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Claremont, CA
Past
October 4, 2011 - August 17, 2016
NYLIFE SECURITIES LLC
BD
CRD#: 5167
San Dimas, CA
Past
September 21, 2010 - February 28, 2011
WADDELL & REED
RIA
CRD#: 866
BREA, CA
Past
April 15, 2010 - February 28, 2011
WADDELL & REED
BD
CRD#: 866
BREA, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LINCOLN INVESTMENT
CMW | THE LINCOLN INVESTMENT COMPANIES | THE LEGEND GROUP | THE GABOR AGENCY | SHELGREN FINANCIAL GROUP | LINCOLN INVESTMENT PLANNING, LLC | LINCOLN INVESTMENT PLANNING, INC. | LINCOLN INVESTMENT PLANNING, INC | LINCOLN INVESTMENT | GABOR FINANCIAL SOLUTIONS | FINANCIAL DIRECTORS | CREATING AND MANAGING WEALTH
CRD#: 519 / SEC#: 801-14059, 8-14354
RIA
Registered Investment Advisory firm - SEC (9/11/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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
General Industry/Product Exam
General Industry/Product Exam
Current Firm
LINCOLN INVESTMENT
CMW | THE LINCOLN INVESTMENT COMPANIES | THE LEGEND GROUP | THE GABOR AGENCY | SHELGREN FINANCIAL GROUP | LINCOLN INVESTMENT PLANNING, LLC | LINCOLN INVESTMENT PLANNING, INC. | LINCOLN INVESTMENT PLANNING, INC | LINCOLN INVESTMENT | GABOR FINANCIAL SOLUTIONS | FINANCIAL DIRECTORS | CREATING AND MANAGING WEALTH
CRD#: 519 / SEC#: 801-14059, 8-14354
RIA
Registered Investment Advisory firm - SEC (9/11/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232
Mailing Address
601 Office Center Drive Suite 150-mailroom, Fort Washington, PA 19034
Phone number
(215) 887-8111
Established
Pennsylvania since 08/01/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,293
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | MEMBER/OWNER | |
| ALEXANDER, DANIEL SEAN | EXECUTIVE VICE-PRESIDENT, CHIEF BUSINESS DEVELOPMENT OFFICER | 4051341 |
| BUETI, ANTHONY CHARLES | SENIOR VICE-PRESIDENT, OPERATIONS & SERVICE/ PRINCIPAL OPERATIONS OFFICER | 5876104 |
| BURA, KAREN DOUGHERTY | VICE-PRESIDENT, CONTROLLER | 1666006 |
| ESTES, JASON CHRISTOPHER | EXECUTIVE VICE-PRESIDENT, CHIEF INFORMATION & TECHNOLOGY OFFICER | 7485210 |
| FLAX, STEVEN NEIL | EXECUTIVE VICE-PRESIDENT, CHIEF HUMAN RESOURCES OFFICER | 5655474 |
| FORST, EDWARD SAMUEL JR | ELECTED MANAGER/CEO | 708024 |
| LECKEY, KATHLEEN KINSLOW | PRESIDENT, CHIEF OPERATING OFFICER | 2447809 |
| MATTSON, MAUREEN ANN | EXECUTIVE VICE-PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | 5952728 |
| MCCARTHY, DIANE MULHERRIN | EXECUTIVE VICE-PRESIDENT/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/ELECTED MANAGER | 4923328 |
| MEHROTRA, SHASHI | SENIOR VICE-PRESIDENT, CHIEF INVESTMENT OFFICER | 2640875 |
| OBERLIES, SUSAN MARY | SENIOR VICE-PRESIDENT, CORPORATE COUNSEL/SECRETARY | 3009149 |
Regulatory assets under management
| Total Number of Accounts | 201,292 |
| AUM (Assets Under Management) | $ 18,904,482,714 |
Disclosures
| Regulatory Event | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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