Miguel Rosas Aude
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.
Miguel Rosas Aude, CFP®, who also goes by Miguel Rosasaude, was a registered financial professional .
Miguel is a previously registered financial professional and started their career in finance in 2022. Miguel had worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2024 - May 2, 2024
FISHER INVESTMENTS
December 1, 2022 - April 15, 2024
CITIGROUP GLOBAL MARKETS INC.
November 30, 2022 - April 15, 2024
CITIGROUP GLOBAL MARKETS INC.
January 19, 2022 - November 18, 2022
WELLS FARGO CLEARING SERVICES, LLC
January 18, 2022 - November 18, 2022
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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 7TO
Date: 1/19/2022
General Securities Representative ExaminationCurrent Firm
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
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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