Rosemary A. Ligotti
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.
Rosemary Alicia Ligotti was a registered financial professional .
Rosemary is a previously registered financial professional and started their career in finance in 1977. Rosemary had worked at 13 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2020 - July 15, 2022
CADARET, GRANT & CO., INC.
May 30, 2018 - July 10, 2020
PEAK BROKERAGE SERVICES, LLC
March 8, 2012 - December 31, 2017
SILVER OAK SECURITIES, INCORPORATED
December 17, 2004 - April 14, 2010
CANTELLA & CO., INC.
August 21, 2003 - December 17, 2004
WINSLOW, EVANS & CROCKER, INC.
November 21, 2001 - August 20, 2003
GOLDK INVESTMENT SERVICES, INC
March 27, 2001 - November 9, 2001
GILFORD SECURITIES INCORPORATED
November 2, 1992 - April 3, 2001
MOORS & CABOT, INC.
January 22, 1991 - October 27, 1992
S.C. PARKER & CO., INC.
September 4, 1990 - January 3, 1991
WELLS FARGO CLEARING SERVICES, LLC
March 4, 1988 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
January 28, 1982 - March 7, 1988
MOSELEY SECURITIES CORPORATION
October 26, 1977 - February 12, 1982
ADVEST, 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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 8
Date: 3/7/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 |
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.
