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RB

Rosella Barbieri

RESEARCH CAPITAL USA
Toronto, M5L 1G2
Some features on this profile are disabled
CRD#: 6579897
RB

Professional summary


Rosella Barbieri, who also goes by Rose Barbieri, is a registered financial professional currently at RESEARCH CAPITAL USA INC. .

Rosella is registered as a RR (Registered Representative) and started their career in finance in 2016. Rosella has worked at 1 firm and has passed the Series 63, SIE, Series 62 and Series 24 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Rose Barbieri

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.
The advisor shows no other business activity.

Blog Corner


CRS (Client Relationship Summary) - BD


Click below to view Rosella Barbieri's CRS (Customer Relationship Summary).

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Current

January 18, 2016 - Present

RESEARCH CAPITAL USA INC.

Office #1: 199 Bay Street, Suite 4500 Commerce Court West, Toronto, M5L 1G2Office #2: 1920 - 1075 West Georgia Street, Vancouver, Bc, V6E 3C9Office #3: 199 Bay Street, Suite 4500 Commerce Court West, Toronto, M5L 1G2
BD
CRD#: 39670
Toronto,

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(6/13/2016)
RR
Colorado
(2/23/2016)
RR
Connecticut
(6/13/2016)
RR
Florida
(2/23/2016)
RR
Georgia
(6/13/2016)
RR
Idaho
(6/13/2016)
RR
Illinois
(6/13/2016)
RR
Louisiana
(3/14/2016)
RR
Maryland
(2/23/2016)
RR
Massachusetts
(6/13/2016)
RR
Minnesota
(6/13/2016)
RR
New Jersey
(6/13/2016)
RR
New York
(6/13/2016)
RR
Ohio
(2/23/2016)
RR
Oregon
(6/13/2016)
RR
Pennsylvania
(6/13/2016)
RR
Puerto Rico
(4/22/2021)
RR
Texas
(6/13/2016)
RR
Utah
(6/13/2016)
RR
Washington
(6/13/2016)
RR
Wisconsin
(6/13/2016)

Exams


State Security Law Exam
RR
Series 63
Date: 6/13/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 1/18/2016
Corporate Securities Limited Representative Examination
Principal/Supervisory Exam
SRO Registrations
RR
FINRA

Current Firm


RC
RESEARCH CAPITAL USA INC.
MACKIE RESEARCH USA INC. | RESEARCH CAPITAL USA INC.

CRD#: 39670 / SEC#: , 8-48795

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information


Main Address
199 Bay Street, Suite 4500 Commerce Court West, Toronto, M5L 1G2
Mailing Address
199 Bay Street, Suite 4500 Commerce Court West, Toronto, M5L 1G2
Phone number
(416) 860-7600
Established
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents


Direct owners and executive officers


NamePositionCRD#
RESEARCH CAPITAL CORPORATIONSOLE OWNER
SELBIE, ANDREW CHARLESPRESIDENT2009162
SELBIE, ANDREW CHARLESCEO, CFO, FINOP & CORPORATE SECRETARY2009162
WILLIAMS, JOHN RAYCHIEF COMPLIANCE OFFICER1865081

Disclosures


Regulatory Event2

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.

Company Information


RESEARCH CAPITAL USA INC.

CRD#: 39670Toronto, M5L 1G2

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