Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sergio? Claim Your ProfileSergio Rosa is a financial advisor at LPL Financial LLC. Sergio has been in the financial industry since 1999. Sergio is registered with the state of New York and has a Series 7, Series 63 and Series 66 license. Sergio has held previous roles with MORGAN STANLEY, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, OLYMPIA ASSET MANAGEMENT,LTD., INVEST FINANCIAL CORPORATION, 21ST CENTURY FINANCIAL SERVICES, INC., ALLSTATE FINANCIAL SERVICES, LLC, HRC INVESTMENT SERVICES, INC., MURJEN FINANCIAL, INC. and JWGENESIS FINANCIAL SERVICES, INC.. Sergio is also licensed to sell insurance through Colonial Life.
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.
Consulting and other non-discretionary advisory services
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.
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NY
05/27/2022 - Present
LPL Financial LLC (ROCKVILLE CENTRE NY)
NY
08/05/2016 - 06/13/2022
MORGAN STANLEY (New York NY)
NY
11/05/2009 - 08/08/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
01/05/2009 - 09/28/2009
OLYMPIA ASSET MANAGEMENT,LTD. (NEW YORK NY)
NY
06/26/2006 - 09/18/2008
OLYMPIA ASSET MANAGEMENT,LTD. (NEW YORK NY)
NY
07/20/2005 - 06/28/2006
INVEST FINANCIAL CORPORATION (MASSAPEQUA PK NY)
NY
04/19/2005 - 07/20/2005
21ST CENTURY FINANCIAL SERVICES, INC. (EAST MEADOW NY)
NE
11/14/2003 - 09/07/2004
ALLSTATE FINANCIAL SERVICES, LLC (LINCOLN NE)
NY
05/21/2001 - 10/27/2003
HRC INVESTMENT SERVICES, INC. (GLEN HEAD NY)
NY
01/18/2000 - 05/11/2001
MURJEN FINANCIAL, INC. (SYOSSET NY)
MO
11/09/1999 - 01/14/2000
JWGENESIS FINANCIAL SERVICES, INC. (ST. LOUIS MO)
BOTH
Issued 12/31/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/02/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/08/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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