Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rosa? Claim Your ProfileRosa Ines Caba is a financial advisor with over 14 years of experience in the financial industry. Rosa is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has previously worked with Citigroup Global Markets Inc. and First Investors Corporation. Rosa has a broad range of experience in advising individuals, families, and businesses. She has also worked with a variety of institutional clients, including insurance companies, pension plans, and corporations. Rosa is committed to providing her clients with personalized financial advice that meets their individual needs.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
FL
06/06/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (TAMPA FL)
CT
03/28/2017 - 04/07/2022
CITI PRIVATE ADVISORY, LLC (Greenwich CT)
CT
07/28/2014 - 04/07/2022
CITIGROUP GLOBAL MARKETS INC. (GREENWICH CT)
NY
04/25/2008 - 07/22/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
08/01/2007 - 08/27/2007
MML INVESTORS SERVICES, INC. (NEW YORK NY)
NJ
06/21/2005 - 08/05/2005
FIRST INVESTORS CORPORATION (EDISON NJ)
BOTH
Issued 04/05/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/29/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/03/2019
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/01/2009
Series 3 - National Commodity Futures Examination
BC
Issued 01/31/2008
Series 7 - General Securities Representative Examination
BC
Issued 06/20/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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