Dennis J. Rosa
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dennis James Rosa SR, who also goes by Dennis J Rosa, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1985. Dennis had worked at 9 firms and has passed the Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2017 - December 21, 2019
NOBLE CAPITAL MARKETS, INC.
April 15, 2011 - September 20, 2013
MEDITERRANEAN SECURITIES GROUP, LLC
January 15, 2010 - April 28, 2011
FORGE FINANCIAL GROUP, INC.
April 21, 2008 - June 2, 2009
SUMMIT BROKERAGE SERVICES, INC.
April 4, 2007 - January 16, 2008
MORGAN PEABODY, INC.
February 2, 2004 - April 5, 2007
CAPITAL GROWTH FINANCIAL, LLC
May 6, 1999 - February 11, 2004
NOBLE CAPITAL MARKETS, INC.
May 31, 1990 - April 30, 1999
A. F. BEST SECURITIES, INC.
July 21, 1987 - June 5, 1990
LEBENTHAL & CO., INC.
April 30, 1985 - August 4, 1987
J.J. KENNY DRAKE, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NOBLE CAPITAL MARKETS, INC.
CRD#: 15768 / SEC#: , 8-32706
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 11 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
