Seth Gordon Rosen
Professional Summary
Seth Gordon Rosen was a registered financial advisor. Seth was a previously registered financial professional and started their career in finance 1985 - 2012. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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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.
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Years of Experience
41 years in the financial services industry
Current & Past Employments
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Current Firm
QUAD CAPITAL, LLC
Contact Information
Established
Delaware since 10/27/2008Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
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
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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
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Jan 2000Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Aug 2001About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Dec 2000About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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