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Rose Lucia Freda

Joseph Gunnar & Co. LLC

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About Rose Lucia Freda

Rose Freda is a financial professional with over 13 years of experience in the industry. Rose holds several licenses and registrations, including Series 7, 24, 63, 99TO, and SIE. She is currently registered with Joseph Gunnar & Co. LLC as an Investment Advisor Representative. Before that, Rose worked at Dawson James Securities, Inc., Maxim Group LLC, and HFP Capital Markets LLC. Rose specializes in Portfolio Management for Individuals and Selection of Other Advisers.

Firm Information

Rose Freda is currently registered with Joseph Gunnar & Co. LLC. Joseph Gunnar & Co. LLC is a Limited Liability Company registered with the SEC and in 53 states. The firm, founded in 1997, is headquartered in Uniondale, New York and provides portfolio management services for individuals and selects other advisers. They are registered to offer wrap fee programs and have reported 5 regulatory events and 12 arbitration disclosures.
Joseph Gunnar & Co. LLC

1000 RXR PLAZA

UNIONDALE, NY 11556

$31.02M

Assets Under Management

Not reported

Total Clients

36

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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Share in fees paid to tpmms

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Rose Freda’s Registration & Firm History

NY

06/06/2016 - Present

Joseph Gunnar & Co. LLC (UNIONDALE NY)

NY

10/29/2013 - 06/09/2016

DAWSON JAMES SECURITIES, INC. (NEW YORK NY)

NY

08/08/2011 - 11/10/2011

MAXIM GROUP LLC (NEW YORK NY)

NY

06/26/2009 - 08/09/2011

HFP CAPITAL MARKETS LLC (NEW YORK NY)

NY

09/09/2008 - 07/24/2009

JOSEPH GUNNAR & CO. LLC (NEW YORK NY)

NY

01/29/2008 - 04/30/2008

PAULSON INVESTMENT COMPANY, INC. (NEW YORK NY)

NY

09/27/2007 - 02/04/2008

OPPENHEIMER & CO. INC. (NEW YORK NY)

NY

04/04/2007 - 06/26/2007

SKY CAPITAL LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 05/04/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/03/2014

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/03/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Rose Lucia Freda.
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