Deborah RossiCRD Number: 1985208
Current Firm: Stifel, Nicolaus & Company, Incorporated
Deborah Rossi (CRD# 1985208) is an Investment Advisor Representative working at Stifel, Nicolaus & Company, Incorporated in Chico, CA and has over 27 years of experience in the finance industry.
Cw Does Business Under The Dba The O'donnell Group
Securities America Advisors, Inc.
Valic Financial Advisors, Inc.
|Stifel, Nicolaus & Company, Incorporated||Chico, CA||Aug 2009 - Current||8|
|Ubs Financial Services Inc.||Chico, CA||Jul 1989 - Current||28|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1990|
|S65||NASAA Investment Advisors Law Examination||Sep 2009|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management53,887MILLIONS
Total Number of Accounts141,170ACCOUNTS
Average Account Value$381,719
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY