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Carol A. Rosenstock

Transamerica Financial Advisors, Inc.

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About Carol A. Rosenstock

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.

Firm Information

Carol Rosenstock is currently registered with Transamerica Financial Advisors, Inc.. Transamerica Financial Advisors, Inc. is a registered investment advisor with over 1,100 investment advisor representatives, managing $1 billion to $10 billion in client assets. The firm offers a range of services, including portfolio management for individuals, selection of other advisors, and wrap fee program participation. It has been in business since 1984 and is headquartered in St. Petersburg, FL. The firm serves a diverse clientele, including individuals, high-net-worth individuals, pension plans, corporations, charitable organizations, and other institutions.
Transamerica Financial Advisors, Inc.

570 CARILLON PARKWAY

ST PETERSBURG, FL 33716-1202

$1.62B

Assets Under Management

Not reported

Total Clients

2,487

Total Financial Advisors

Services Offered

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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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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percentage of assets

A percentage of the total value of assets under management is charged.

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Carol Rosenstock’s Registration & Firm History

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)

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Licenses & Designations

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

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Carol A. Rosenstock.
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