Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nona? Claim Your ProfileNona Lucile Rosa is a registered representative and investment advisor representative with Avantax Advisory Services in Dallas, Texas. Nona has been in the financial services industry since September 1997. Nona has passed the Series 6, 7, 24, 63 and 65 exams. Nona has been registered with Avantax Advisory Services since October 2019. Previously, Nona was registered with 1ST GLOBAL CAPITAL CORP. from September 2015 to October 2019 and HD VEST INVESTMENT SERVICES from September 1997 to August 2015.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Solicitor referral services to third-party investment managers; participant enrollment meetings
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.
A percentage of the total value of assets under management is charged.
Solicitor fees
1
2
TX
10/25/2019 - Present
Avantax Advisory Services (DALLAS TX)
TX
09/04/2015 - 10/25/2019
1ST GLOBAL CAPITAL CORP. (DALLAS TX)
TX
09/15/1997 - 08/31/2015
HD VEST INVESTMENT SERVICES (Irving TX)
IA
Issued 03/09/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/19/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/27/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/07/1998
Series 7 - General Securities Representative Examination
BC
Issued 09/12/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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