Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rosanna? Claim Your ProfileRosanna Lucero-torrez is a financial advisor who has been in the industry since 1985. Rosanna is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Rosanna has a wealth of experience working with various clients, including corporations, high-net-worth individuals, individuals, charitable organizations, pension plans, and insurance companies.
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
NM
06/05/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ALBUQUERQUE NM)
NM
01/01/1998 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (ALBUQUERQUE NM)
NA
08/13/1997 - 01/01/1998
NATIONSSECURITIES
MO
08/27/1993 - 08/13/1997
BOATMEN'S INVESTMENT SERVICES, INC. (ST. LOUIS MO)
CA
08/18/1992 - 07/19/1993
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
CA
02/08/1991 - 08/10/1992
FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)
CA
12/20/1988 - 03/05/1990
TRAVELERS EQUITIES SALES, INC. (EL SEGUNDO CA)
NA
08/12/1987 - 10/13/1988
NML EQUITY SERVICES, INC.
NA
02/03/1987 - 09/19/1988
ROBERT W. BAIRD & CO. INCORPORATED
NA
01/23/1987 - 02/10/1987
SOUTHWEST SECURITIES, INC.
NA
04/18/1984 - 01/23/1987
QUINN & CO., INC.
IA
Issued 07/21/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/22/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/29/1994
Series 24 - General Securities Principal Examination
BC
Issued 03/23/1987
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/14/1984
Series 7 - General Securities 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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