Howard A. Rosencrans
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.
Howard Aaron Rosencrans was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1984. Howard had worked at 6 firms and has passed the Series 63, Series 87, Series 7, Series 16, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2012 - October 12, 2012
EKN FINANCIAL SERVICES INC.
February 15, 2010 - April 20, 2010
MULTITRADE SECURITIES LLC
January 17, 2006 - February 8, 2008
CAPITAL GROWTH FINANCIAL, LLC
January 2, 1989 - May 7, 2003
HD BROUS & CO., INC.
October 1, 1985 - July 9, 1988
GRUNTAL & CO., L.L.C.
July 26, 1984 - October 1, 1985
JII SECURITIES 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
EKN FINANCIAL SERVICES INC.
CRD#: 113525 / SEC#: , 8-53346
Contact information
Documents
Disclosures
| Regulatory Event | 18 |
| Arbitration | 10 |
| Judgment/Lien | 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.
