Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shantique? Claim Your ProfileShantique Rozell has been a financial professional for over 20 years. Shantique is currently a Registered Representative and Investment Advisor Representative with Morgan Stanley. Previously, Shantique was affiliated with Wells Fargo Advisors, LLC and Wells Fargo Clearing Services, LLC in Alpharetta, GA. Shantique has passed the Series 6, 7, 9, 10, 63, 65, SIE and 99TO exams. Shantique has received a total of 53 state registrations, including in Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin and Wyoming. Shantique also has 4 SRO registrations and 2 FINRA registrations.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
GA
05/31/2022 - Present
Morgan Stanley (Alpharetta GA)
GA
04/04/2013 - 05/12/2022
WELLS FARGO CLEARING SERVICES, LLC (ALPHARETTA GA)
GA
10/08/2008 - 10/03/2012
WELLS FARGO ADVISORS, LLC (ATLANTA GA)
RI
07/29/2008 - 09/08/2008
CITIGROUP GLOBAL MARKETS INC. (PROVIDENCE RI)
CT
01/01/2008 - 07/01/2008
WACHOVIA SECURITIES, LLC (SOUTHPORT CT)
CT
12/18/2006 - 01/03/2008
A. G. EDWARDS & SONS, INC. (SOUTHPORT CT)
CT
03/22/2001 - 10/10/2006
PEOPLE'S SECURITIES, INC. (BRIDGEPORT CT)
IA
Issued 10/16/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/26/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/10/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/19/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/07/2001
Series 7 - General Securities Representative Examination
BC
Issued 03/21/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Shantique Rozell is the right advisor for you? Invested Better is here to help.
