Philip E. Rosensweig
Professional summary
Philip E Rosensweig, who also goes by Philip E Erosensweig, Philip Eugene Rosensweig, Phillip Eugene Rosensweig, Rosen Rosensweig, is a registered financial advisor currently at SUTTER SECURITIES INCORPORATED located in Boca Raton, Florida.
Philip is registered as a RR (Registered Representative) and started their career in finance in 1983. Philip has worked at 19 firms and has passed the Series 65, Series 63, Series 6TO, Series 79TO, SIE, Series 31, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Philip E Rosensweig's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 17, 2021 - Present
SUTTER SECURITIES INCORPORATED
Office #1: 2500 N. Military Trail Suite 306, Boca Raton, FL 33431January 15, 2021 - February 16, 2021
BOUSTEAD SECURITIES, LLC
August 24, 2015 - January 25, 2021
WESTPARK CAPITAL, INC.
September 16, 2013 - September 14, 2015
LAIDLAW & COMPANY (UK) LTD.
August 10, 2012 - August 26, 2013
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
July 13, 2012 - August 26, 2013
INTERNATIONAL ASSETS ADVISORY, LLC
July 12, 2012 - July 16, 2012
MAXIM GROUP LLC
December 2, 2010 - June 6, 2012
DAWSON JAMES ASSET MANAGEMENT, INC.
November 8, 2010 - May 29, 2012
DAWSON JAMES SECURITIES, INC.
March 22, 2010 - November 8, 2010
R. F. LAFFERTY & CO., INC.
April 10, 2006 - March 26, 2010
GUNNALLEN FINANCIAL, INC
January 15, 2004 - March 26, 2010
GUNNALLEN FINANCIAL, INC
March 9, 2000 - March 28, 2011
THE FINANCIAL ADVISOR'S NETWORK
January 25, 2000 - December 31, 2003
CANTELLA & CO., INC.
July 1, 1999 - January 10, 2000
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 25, 1992 - June 23, 1999
MORGAN STANLEY DW INC.
January 30, 1989 - October 6, 1992
CITIGROUP GLOBAL MARKETS INC.
April 9, 1984 - February 9, 1989
PRUDENTIAL EQUITY GROUP, LLC
March 20, 1984 - March 30, 1984
J. B. HANAUER & CO.
May 16, 1983 - March 19, 1984
LISS TENNER & GOLDBERG SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/18/2021)
(1/25/2021)
(2/11/2021)
(1/19/2021)
(9/3/2021)
(1/27/2021)
(7/14/2025)
(12/10/2024)
(1/19/2021)
(7/14/2025)
(1/19/2021)
(1/22/2021)
(1/22/2021)
(1/26/2021)
(1/19/2021)
(3/31/2021)
(1/26/2021)
(2/18/2021)
(2/16/2021)
(2/10/2021)
(2/3/2021)
(1/23/2021)
(1/19/2021)
(1/25/2021)
(2/1/2021)
(2/1/2021)
(1/29/2021)
(1/29/2021)
(2/25/2021)
(1/27/2021)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
SUTTER SECURITIES INCORPORATED
CRD#: 30770 / SEC#: , 8-45158
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUTTER SECURITIES GROUP INC (FORMERLY FINTECH GLOBAL MARKETS) | SHAREHOLDER | |
| BULL, ROBERT LEE IV | FINOP | 1521134 |
| CHOMATIL, NEHRU SUBRAMANIAN | CHIEF COMPLIANCE OFFICER | 2342004 |
| MALEY, ROBERT ANDREW | EXECUTIVE VICE PRESIDENT | 2442794 |
| MATTHEWS, GILBERT ELLIOTT | SR. MANAGING DIRECTOR, DIRECTOR, CHAIRMAN | |
| SMITH, LINCOLN JOSEPH JR | PRESIDENT, CEO | 2501422 |
Disclosures
| Regulatory Event | 1 |
| Bond | 1 |
Red Flags
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.
Company Information
SUTTER SECURITIES INCORPORATED
CRD#: 30770Boca Raton, FL 33431TRUST BUT VERIFY
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