Seth G. Rosen
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.
Seth Gordon Rosen was a registered financial professional .
Seth is a previously registered financial professional and started their career in finance in 1985. Seth had worked at 11 firms and has passed the Series 63, Series 55, Series 7, Series 14, Series 10, Series 9, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - September 28, 2012
QUAD CAPITAL, LLC
November 4, 2008 - December 31, 2008
LIGHTHOUSE FINANCIAL GROUP, LLC
May 25, 2000 - March 7, 2008
KV EXECUTION SERVICES LLC
January 29, 1999 - May 11, 2000
FIRST MONTAUK SECURITIES CORP.
August 11, 1998 - February 2, 1999
BUYANDHOLD SECURITIES CORPORATION
July 1, 1998 - July 13, 1998
COWEN AND COMPANY
May 15, 1998 - July 1, 1998
FINANCIAL SQUARE PARTNERS
March 28, 1994 - December 17, 1997
NEBRASKA HUDSON COMPANY, INC.
July 15, 1988 - April 14, 1989
DEUTSCHE IXE, LLC
September 12, 1987 - June 24, 1988
SHERWOOD CAPITAL, INC.
July 23, 1985 - November 9, 1987
FIRST JERSEY 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
Series 55
Date: 1/7/2000
Limited Representative-Equity Trader ExamCurrent Firm
QUAD CAPITAL, LLC
CRD#: 148927 / SEC#: , 8-68085
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| QUAD CAPITAL MANAGEMENT, LLC | OWNER | |
| BENINCASA, GABRIEL ANTHONY | GENERAL COUNSEL & CCO | 2253881 |
| CIAMPI, GUERINO | SMD | |
| GUARINO, JOHN VINCENT | SMD | |
| RUBACKY, PAUL IGNATIAUS | CFO |
Disclosures
| Regulatory Event | 2 |
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.
