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Carol A. Rosenstock
CAROL ANN FEUCHT, Carol Ann Feucht, CAROL ANN MILLER, Carol Ann Miller, Carol Ann Rosenstock
CRD#: 4034414
IA
B
TRANSAMERICA FINANCIAL ADVISORS, LLCCRD#: 16164 Waunakee, WI
0
Disclosures
22
Years of Experience
View By:
State Registrations
B
Alabama 7/12/2021
B
Missouri 3/1/2022
B
California 8/31/2021
B
New Jersey 7/12/2021
B
Florida 7/12/2021
IA
New Jersey 7/12/2021
B
Georgia 6/3/2021
B
North Carolina 7/12/2021
IA
Georgia 6/4/2021
IA
North Carolina 7/26/2021
B
Illinois 7/12/2021
B
Ohio 7/12/2021
B
Iowa 7/22/2022
B
Oklahoma 9/14/2023
IA
Iowa 1/9/2025
B
Pennsylvania 7/12/2021
B
Kentucky 7/12/2021
B
South Carolina 7/12/2021
B
Louisiana 7/12/2021
B
Texas 7/12/2021
B
Maryland 7/12/2021
IA
Texas 7/12/2021
B
Massachusetts 7/12/2021
B
Virginia 7/12/2021
B
Michigan 7/12/2021
B
Wisconsin 6/3/2021
B
Minnesota 8/6/2021
IA
Wisconsin 6/3/2021
SRO Registrations
B
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IA
Registered with this firm since 6/3/2021
B
Registered with this firm since 6/3/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/08/2021 - 05/26/2021 | MADISON, WI | |
B | 01/11/2021 - 05/26/2021 | MADISON, WI | |
IA | 09/22/2020 - 12/18/2020 | MADISON, WI | |
IA | 01/28/2020 - 08/18/2020 | MADISON, WI | |
IA | 01/19/2018 - 08/16/2019 | MADISON, WI | |
B | 01/19/2018 - 08/16/2019 | MADISON, WI | |
IA | 11/09/2011 - 08/25/2017 | MADISON, WI | |
B | 11/09/2011 - 08/25/2017 | MADISON, WI | |
IA | 11/01/2011 - 08/24/2017 | MADISON, WI | |
B | 11/09/2011 - 08/24/2017 | MADISON, WI | |
IA | 07/18/2008 - 12/31/2009 | MADISON, WI | |
B | 07/18/2008 - 12/31/2009 | MADISON, WI | |
B | 02/22/2005 - 05/05/2008 | WAUNAKEE, WI | |
B | 10/30/2003 - 02/24/2005 | MINNEAPOLIS, MN | |
IA | 11/01/2002 - 10/03/2003 | WATERTOWN, WI | |
B | 09/13/2002 - 10/03/2003 | CHICAGO, IL | |
IA | 08/01/2000 - 01/08/2003 | MILWAUKEE, WI | |
B | 01/24/2000 - 09/24/2002 | MILWAUKEE, WI |
MILWAUKEE, WI
08/01/2000 - 01/08/2003
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B
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.
IA
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.