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ROSA CAVALIE MEDINA
CRD#: 4376471
IA
B
MORGAN STANLEYCRD#: 149777 20807 Biscayne Boulevard
5Th&6Th Floor
Aventura, FL 33180
5Th&6Th Floor
Aventura, FL 33180
0
Disclosures
17
Years of Experience
View By:
State Registrations
B
Delaware 3/1/2024
B
New York 3/28/2016
B
Florida 3/28/2016
B
Puerto Rico 3/1/2024
IA
Florida 3/30/2016
B
South Dakota 11/9/2023
B
Missouri 12/2/2022
B
Texas 2/19/2021
B
Nevada 3/1/2024
IA
Texas 2/23/2021
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 3/28/2016
B
Registered with this firm since 3/28/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/12/2010 - 04/01/2016 | MIAMI, FL | |
B | 06/11/2010 - 04/01/2016 | MIAMI, FL | |
B | 05/31/2001 - 07/26/2004 | NEW YORK, NY |
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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.