Unclaimed
Carol Rosenstock is a financial advisor with Transamerica Financial Advisors, Inc. Carol has been in the industry since 2003. Carol provides financial advisory services to individuals and businesses. Carol is registered with the following states: Alabama, California, Florida, Georgia, Illinois, Iowa, Kentucky, Louisiana, Maryland, Massachusetts, Michigan, Minnesota, Missouri, New Jersey, North Carolina, Ohio, Oklahoma, Pennsylvania, South Carolina, Texas, Virginia, and Wisconsin. Carol is a registered representative of Transamerica Financial Advisors, Inc., and is also an investment adviser representative of Transamerica Financial Advisors, Inc. Carol has a Series 6, 7, 24, 52, 53, 63 and 65 license. Carol is a member of the Financial Industry Regulatory Authority (FINRA). Carol is committed to providing her clients with the highest level of service and expertise. Carol's professional experience includes working at J.P. Morgan Securities LLC, Morgan Stanley, Three Lakes Securities, LLC, Coordinated Capital Securities, Inc., MML Investors Services, Inc., Associated Investment Services, Inc., TCF Investments, Inc., Banc One Securities Corporation, and M&I Brokerage Services, Inc. Carol is a highly experienced financial advisor who is committed to helping her clients achieve their financial goals.
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.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
1
2
WI
06/03/2021 - Present
Transamerica Financial Advisors, Inc. (Waunakee WI)
WI
01/11/2021 - 05/26/2021
J.P. MORGAN SECURITIES LLC (MADISON WI)
WI
01/19/2018 - 08/16/2019
MORGAN STANLEY (MADISON WI)
WI
11/09/2011 - 08/25/2017
THREE LAKES SECURITIES, LLC (MADISON WI)
WI
11/09/2011 - 08/24/2017
COORDINATED CAPITAL SECURITIES, INC. (MADISON WI)
WI
07/18/2008 - 12/31/2009
MML INVESTORS SERVICES, INC. (MADISON WI)
WI
02/22/2005 - 05/05/2008
ASSOCIATED INVESTMENT SERVICES, INC. (WAUNAKEE WI)
MN
10/30/2003 - 02/24/2005
TCF INVESTMENTS, INC. (MINNEAPOLIS MN)
IL
09/13/2002 - 10/03/2003
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
WI
01/24/2000 - 09/24/2002
M&I BROKERAGE SERVICES, INC. (MILWAUKEE WI)
BC
Issued 03/08/2000
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 12/05/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/24/2004
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/14/2004
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/20/2003
Series 7 - General Securities Representative Examination
BC
Issued 01/21/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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