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KELLY ANNETTE ROSENBUSH
KELLY ANNETTE BIRD
CRD#: 4864063
IA
B
WELLS FARGO ADVISORSCRD#: 19616 600 2ND ST
HUDSON, WI 54016
HUDSON, WI 54016
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5/31/2022
Judgment / Lien
11/19/2019
Judgment / Lien
7/12/2019
Judgment / Lien
11/15/2017
Judgment / Lien
State Registrations
IA
California 1/3/2011
B
Wisconsin 1/3/2011
B
Florida 7/14/2015
IA
Wisconsin 1/3/2011
B
Kentucky 7/20/2016
B
Wyoming 7/3/2023
B
Minnesota 1/3/2011
SRO Registrations
B
B
B
B
B
B
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Learn about permitted activities of registered principals
IA
Registered with this firm since 1/3/2011
B
Registered with this firm since 1/3/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/24/2009 - 01/03/2011 | HUDSON, WI | |
B | 01/29/2009 - 01/03/2011 | HUDSON, WI |
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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.