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...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Philip E Erosensweig, Philip Eugene Rosensweig, Phillip Eugene Rosensweig, Rosen Rosensweig
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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
43 years in the financial services industry
Current & Past Employments
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Current Firm
S & D SECURITIES, INC. | SUTTER SECURITIES, INC. | SUTTER SECURITIES INCORPORATED
Contact Information
Main Address
6 Venture, Suite 395 Suite 395, Irvine, CA 92618Mailing Address
6 Venture, Suite 395 Suite 395, Irvine, CA 92618Phone Number
(415) 352-6300Established
California since 07/22/1992Firm Type
CorporationFiscal Year End
JuneFirm Size
SmallFINRA licenses (50 States and Territories)
Registered to provide investment advisory services in 0 US 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
3Bond
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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
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Philip E Rosensweig's CRS (Customer Relationship Summary).
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