Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Concepcion? Claim Your ProfileConcepcion De guzman Rosete is a financial professional with over 20 years of experience in the industry. Concepcion has worked with Charles Schwab & Co., Inc. for over 14 years and is currently a Registered Representative at Oppenheimer & Co. Inc. located in San Francisco, California. Concepcion is a Series 7, Series 9, and Series 63 licensed professional. Concepcion holds licenses for a total of 9 SRO registrations, 1 FINRA registration, and 1 state registration. Concepcion has been involved in the financial industry since 2000 and is committed to providing clients with the best possible service.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
CA
01/25/2023 - Present
Oppenheimer & Co. Inc. (SAN FRANCISCO CA)
CA
01/17/2008 - 09/19/2022
CHARLES SCHWAB & CO., INC. (San Francisco CA)
CA
03/04/2003 - 06/12/2007
CHARLES SCHWAB & CO., INC. (WALNUT CREEK CA)
TX
12/04/2000 - 07/05/2001
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
BC
Issued 04/08/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/13/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/27/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/02/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Concepcion Rosete is the right advisor for you? Invested Better is here to help.
