Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Finessa? Claim Your ProfileFinessa L Rosson is an active advisor registered with FINRA. Finessa has been in the industry since April 2012 and holds three FINRA licenses: Series 7, Series 9, and Series 10. Finessa is currently registered with Wells Fargo Clearing Services, LLC and has been since November 2016. Prior to that, Finessa worked at FIRST CLEARING, LLC from April 2012 to November 2016. Finessa specializes in providing investment consulting services to institutional clients. Finessa's experience and expertise make her a valuable asset to her clients.
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.
Investment consulting services to institutional clients
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.
1
2
MO
11/11/2016 - Present
Wells Fargo Clearing Services, LLC (ST. LOUIS MO)
MO
04/27/2012 - 11/11/2016
FIRST CLEARING, LLC (ST. LOUIS MO)
BC
Issued 06/22/2017
Series 14 - Compliance Officer Examination
BC
Issued 05/23/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/27/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/02/2014
Series 7 - General Securities Representative Examination
BC
Issued 04/26/2012
Series 99 - Operations Professional Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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