Rina Kupferschmid-rojas
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.
Rina Kupferschmid-rojas, who also goes by Rina Gee Grossenbacher, Rina Gee Kupferschid, Rina Gee Kupferschmid, Rina Kupferschmid, Rina Gee Rojas, was a registered financial professional .
Rina is a previously registered financial professional and started their career in finance in 2017. Rina had worked at 5 firms and has passed the Series 63, SIE 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
April 7, 2022 - January 24, 2024
FIDELITY DISTRIBUTORS COMPANY LLC
April 7, 2022 - January 24, 2024
FIDELITY BROKERAGE SERVICES LLC
December 15, 2021 - January 24, 2024
NATIONAL FINANCIAL SERVICES LLC
August 1, 2017 - September 9, 2021
UBS SECURITIES LLC
March 1, 2017 - September 9, 2021
UBS FINANCIAL SERVICES INC.
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
FIDELITY DISTRIBUTORS COMPANY LLC
CRD#: 17507 / SEC#: , 8-35097
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | STOCKHOLDER | |
| ACKERMAN, CHARLES ALLAN | DIRECTOR | 2168517 |
| ADAMS, ROBERT | COO | 1291582 |
| GUSTAFSON, DALTON | PRESIDENT/DIRECTOR | 2439305 |
| HAGGERTY, MARK A | EXECUTIVE VICE PRESIDENT/DIRECTOR | 4347837 |
| KAVANAUGH, NATALIE ANN | CHIEF LEGAL OFFICER | |
| MCGINTY, JOHN JR. | CHIEF COMPLIANCE OFFICER | 5560420 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 17 |
Red Flags
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