Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caitlin? Claim Your ProfileCaitlin Rossi is a registered representative with Foreside Fund Services, LLC. Caitlin has worked in the financial industry since 2022 and holds the Series 63, 65 and 7TO securities licenses, as well as the SIE designation. Caitlin has held previous roles with UBS Financial Services Inc. and Axio Financial LLC. Caitlin has a focus on providing excellent service to clients in Arizona, Colorado, Florida, Kansas, Nebraska, New Mexico, North Dakota, South Dakota and Utah.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
FL
03/18/2024 - Present
Foreside Fund Services, LLC (Fort Lauderdale FL)
FL
07/25/2023 - 02/06/2024
UBS FINANCIAL SERVICES INC. (BOCA RATON FL)
FL
01/19/2022 - 07/19/2023
AXIO FINANCIAL LLC (Boca Raton FL)
IA
Issued 10/23/2023
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/07/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/18/2022
Series 7TO - General Securities Representative Examination
BC
Issued 11/10/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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