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Susana Carolina Rosello

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Plano, TX

Plano, TX

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2016-11-08
  • TX RA
    APPROVED
    Since 2016-11-08

Branch Locations

5952 W Parker Rd, Plano, TX 75093 • United States

5701 Legacy Dr, Plano, TX 75024 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Capital One Sharebuilder, Inc. Allen TX 04/2010 09/2016
Sharebuilder 401K Seattle WA 01/2015 09/2016
Bank Of America, N.A. Plano TX 10/2016 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Plano TX 10/2016 Present
Previous Registrations
  • 2015-01-28 → 2016-09-27
    Capital One Advisors, Llc
    Seattle, WA
  • 2011-11-21 → 2015-01-28
    Capital One Financial Advisors Llc
    Melville, NY
    Plano, TX
  • 2005-03-16 → 2010-03-12
    Bbva Compass Investment Solutions, Inc
    Carrollton, TX
    Carrollton, TX
    Carrollton, TX
    Colleyville, TX
    Grapevine, TX
    Carrollton, TX
    Irving, TX
    Irving, TX
    Colleyville, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-11-18
S63 Uniform Securities Agent State Law Examination 1994-04-11
  • S66 Uniform Combined State Law Examination
    2011-11-18
  • S63 Uniform Securities Agent State Law Examination
    1994-04-11
Other Names
  • Susana Carolina Downing
  • Susana Carolina Bacigalupe

View on SEC IAPD

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