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Rosalie Hunter

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Other Names: Rosalie Ferry, Rosalie Hunter Ferry, Rosalie Laguerenne Hunter
Type: SEC and FINRA Registered

Rosalie Hunter is a financial professional at Barclays Capital Inc., a broker-dealer with over 3,850 registered representatives nationwide. Rosalie has held an industry securities registration for 22 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Barclays Capital Inc. 3 years, 12 months Apr 2011 - Present
Bear, Stearns & Co. Inc. < 1 month Oct 2008 - Oct 2008
Jpmorgan Chase Bank 8 years, 6 months Oct 2002 - Apr 2011
J.P. Morgan Securities Inc. 8 years, 6 months Oct 2002 - Apr 2011
Donaldson, Lufkin & Jenrette Securities Corporation 13 years, 6 months Apr 1995 - Oct 2008
ExamSeriesPassed Date
National Commodity Futures ExaminationSeries 3 11/14/2014
Uniform Investment Adviser Law ExaminationSeries 65 07/06/2011
Uniform Securities Agent State Law ExaminationSeries 63 08/17/1993
General Securities Representative ExaminationSeries 7 06/30/1993

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Rosalie Hunter has not answered any questions on Financial Q&A.

Top Guides

Rosalie Hunter has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

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.

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.

Firm Compensation Arrangements

Types of Compensation Arrangements

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