Rosa G. Gin
Professional summary
Rosa Gawing Gin is a registered financial professional currently at NI ADVISORS located in Milpitas, California.
Rosa is registered as a RR (Registered Representative) and started their career in finance in 2017. Rosa has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Rosa Gawing Gin's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 24, 2024 - Present
NI ADVISORS
Office #1: 1138 Cadillac Court, Milpitas, CA 95035March 21, 2017 - June 12, 2024
TRANSAMERICA FINANCIAL 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
(6/24/2024)
(6/27/2024)
(6/24/2024)
Exams
FINRA
Current Firm
NI ADVISORS
CRD#: 134502 / SEC#: , 8-66841
Contact information
FINRA licenses (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 3,560,000 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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