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Rosalinda Mary McGovern

Barclays Capital Inc.

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About Rosalinda Mary McGovern

Rosalinda McGovern is a registered Principal at Barclays Capital Inc. Rosalinda is a veteran financial professional with over 20 years of experience in the industry. Prior to joining Barclays Capital Inc., Rosalinda worked at Lehman Brothers Inc. and Citigroup Global Markets Inc.. Rosalinda holds FINRA Series 4, 7, 16, 24, 63, 86, and 87 licenses and is registered in New York.

Firm Information

Rosalinda McGovern is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Rosalinda McGovern’s Registration & Firm History

NY

09/22/2008 - Present

Barclays Capital Inc. (NEW YORK NY)

NY

07/20/2006 - 09/22/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

06/04/2002 - 07/25/2006

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/03/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/17/2008

Series 4 - Registered Options Principal Examination

BC

Issued 05/01/2006

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/10/2005

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 02/26/2005

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 07/19/2004

Series 16 - NYSE Supervisory Analyst Examination

BC

Issued 06/03/2002

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Rosalinda Mary McGovern.
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