Dennis James Rosa Sr
Professional Summary
Dennis James Rosa SR, who also goes by Dennis J Rosa, was a registered financial advisor. Dennis was a previously registered financial professional and started their career in finance 1985 - 2019. Dennis had worked at 9 firms and has passed the Series 7 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dennis J Rosa
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
41 years in the financial services industry
Current & Past Employments
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Current Firm
NOBLE CAPITAL MANAGEMENT INC | NOBLE LIFE SCIENCE PARTNERS | NOBLE INTERNATIONAL INVESTMENTS, INC. | NOBLE FINANCIAL CAPITAL MARKETS | NOBLE CAPITAL MARKETS, INC.
Contact Information
Main Address
150 East Palmetto Park Road Suite 110, Boca Raton, FL 33432Mailing Address
150 East Palmetto Park Road Suite 110, Boca Raton, FL 33432Phone Number
(561) 994-1191Established
Florida since 09/21/1984Firm Type
CorporationFiscal Year End
SeptemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
9Arbitration
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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