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Roberto Rosa

Janney Montgomery Scott LLC

Miami, FL

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Current Employers
Janney Montgomery Scott Llc

1717 Arch Street, Philadelphia, PA 19103 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2019-03-06
TX RA APPROVED 2019-03-05
  • FL RA
    APPROVED
    Since 2019-03-06
  • TX RA
    APPROVED
    Since 2019-03-05

Branch Locations

8950 Sw 74 Court Suite 2005, Miami, FL 33156 • 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
Wells Fargo Advisors Llc Coral Gables FL 05/2009 11/2016
Wells Fargo Clearing Services, Llc Coral Gables FL 11/2016 03/2019
Janney Montgomery Scott Inc. Miami FL 03/2019 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Coral Gables, FL
  • 11/2016 → 03/2019
    Wells Fargo Clearing Services, Llc
    Coral Gables, FL
  • 03/2019 → Present
    Janney Montgomery Scott Inc.
    Miami, FL
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1988-02-16
  • S63 Uniform Securities Agent State Law Examination
    1988-02-16
Other Names
  • Robert Rosa
  • Rob Rosa

View on SEC IAPD

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