Meaghan Mary Rumsey - Investment Adviser

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Firm

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Detailed ReportReport

Meaghan Mary Rumsey

CRD#: 3067639

Previous Investment Adviser

Previous Broker

BARRED BY FINRA OR THE SEC

FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.

The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site

Licenses

Licenses

0 Licenses

Registration History

Disclosure(s)

View By:

6/16/2016

Regulatory

Final

4/6/2015

Judgment / Lien

2/6/2015

Judgment / Lien

12/20/2014

Criminal

Final Disposition

1/21/2014

Judgment / Lien

10/26/2012

Judgment / Lien

7/15/2012

Judgment / Lien

1/12/2011

Judgment / Lien

7/9/2010

Judgment / Lien

4/12/2010

Judgment / Lien

6/9/1999

Criminal

Final Disposition

Previous Registration(s)

th hidden text	th hidden text	Name	Location
IA	01/11/2011 - 12/31/2015	CADARET GRANT & CO INC (CRD#:10641)	RED HOOK, NY
IA	10/20/2004 - 04/16/2008	BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361)	YONKERS, NY
IA	07/06/2004 - 10/20/2004	QUICK & REILLY, INC. (CRD#:11217)	WHITE PLAINS, NY
IA	02/24/2003 - 06/24/2004	PRUDENTIAL INVESTMENT MANAGEMENT, INC. (CRD#:105676)	NEWARK, NJ

CADARET GRANT & CO INC (CRD#:10641)

RED HOOK, NY

01/11/2011 - 12/31/2015

BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361)

YONKERS, NY

10/20/2004 - 04/16/2008

QUICK & REILLY, INC. (CRD#:11217)

WHITE PLAINS, NY

07/06/2004 - 10/20/2004

PRUDENTIAL INVESTMENT MANAGEMENT, INC. (CRD#:105676)

NEWARK, NJ

02/24/2003 - 06/24/2004

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Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.

Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.