Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rosa? Claim Your ProfileRosa Amelia Cherrie is an investment advisor representative with over 20 years of experience in the financial services industry. Rosa is currently registered with UBS Financial Services Inc. and has held previous roles with UBS International Inc., HSBC Brokerage (USA) Inc., BZW Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Rosa has a broad range of experience and expertise in investment advisory services, including financial planning, portfolio management, and pension consulting.
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.
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.
See schedule d - miscellaneous
1
2
CT
10/26/2021 - Present
UBS Financial Services Inc. (Greenwich CT)
NY
08/16/2002 - 01/01/2010
UBS INTERNATIONAL INC. (NEW YORK NY)
NY
01/09/2002 - 08/22/2002
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
NY
11/20/1995 - 11/27/1996
BZW SECURITIES INC. (NEW YORK NY)
NY
05/15/1995 - 10/31/1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
06/11/1993 - 10/17/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 02/11/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/16/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/08/2002
Series 7 - General Securities Representative Examination
BC
Issued 03/12/1994
Series 3 - National Commodity Futures Examination
Active
Inactive
B
BOX Exchange LLC
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
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