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Other Names: Rosalie Ferry, Rosalie Hunter Ferry, Rosalie Laguerenne Hunter
Type: Dual Registration

Rosalie Hunter is a financial professional at Barclays Capital Inc., a broker-dealer with over 4,350 registered representatives nationwide. Rosalie has held an industry securities registration for 21 years and is subject to SEC and FINRA oversight.

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Answers and Guides

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Top Answers

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Firm Client Types

High Net Worth Individuals
Corporations or Other Businesses
Other Investment Advisors
State or Municipal Government Entities
Other Pooled Investment Vehicles
Charitable Organizations
Pension and Profit Sharing Plans
Banking or Thrift Institutions
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Barclays Capital Inc. 3 years Apr 2011 - Present
Bear, Stearns & Co. Inc. < 1 month Oct 2008 - Oct 2008
J.P. Morgan Securities Inc. 8 years, 6 months Oct 2002 - Apr 2011
Jpmorgan Chase Bank 8 years, 6 months Oct 2002 - Apr 2011
Donaldson, Lufkin & Jenrette Securities Corp. 13 years, 6 months Apr 1995 - Oct 2008
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 01/22/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

License Status

No Disclosures Found

No Disclosures Found

As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 07/06/2011
Uniform Securities Agent State Law Examination Series 63 08/17/1993
General Securities Representative Examination Series 7 06/30/1993

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Performance-based Fees