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SR

Steven Allen Rosen

VIEWTRADE SECURITIES

BOCA RATON, FL

·CRD# 1428637·25 years experience

Professional Summary

Steven Allen Rosen is a registered financial advisor currently at VIEWTRADE SECURITIES, INC. located in Boca Raton, Florida. Steven is registered as a RR (Registered Representative) and started their career in finance in 1994. Steven has worked at 13 firms and has passed the Series 66, Series 63, Series 57TO, Series 99TO, Series 52TO, SIE, Series 34, Series 3, Series 55, Series 7, Series 53, Series 30, Series 4 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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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

25 years in the financial services industry

Current & Past Employments

VIEWTRADE SECURITIES, INC.·CRD# 46987

BD

7280 W. Palmetto Park Rd. Suite 310, Boca Raton, FL 33433

March 23, 2020 - Present

B. RILEY WEALTH ADVISORS, INC.·CRD# 115927

RIA

Boca Raton, FL

October 8, 2014 - March 23, 2020

NATIONAL SECURITIES CORPORATION·CRD# 7569

BD

Boca Raton, FL

September 25, 2014 - March 23, 2020

VFINANCE INVESTMENTS, INC·CRD# 44962

BD

Boca Raton, FL

September 23, 2014 - February 24, 2018

NFSG CORPORATION·CRD# 130814

RIA

Ft. Lauderdale, FL

July 12, 2013 - September 18, 2014

NEWBRIDGE SECURITIES CORPORATION·CRD# 104065

BD

Boca Raton, FL

January 18, 2012 - September 18, 2014

MSI FINANCIAL SERVICES, INC.·CRD# 14251

BD

Fort Lauderdale, FL

January 31, 2011 - August 22, 2011

TRADESTATION SECURITIES, INC.·CRD# 39473

BD

Plantation, FL

February 26, 2008 - January 24, 2011

LADENBURG THALMANN & CO. INC.·CRD# 505

BD

New York, NY

January 7, 2003 - March 12, 2003

PROGRAM TRADING CORP.·CRD# 36740

BD

Boca Raton, FL

July 24, 2001 - July 31, 2001

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC·CRD# 11025

BD

St. Louis, MO

January 2, 2001 - July 16, 2001

JWGENESIS SECURITIES, INC.·CRD# 33832

BD

Boca Raton, FL

February 24, 2000 - January 2, 2001

LEGG MASON WOOD WALKER, INCORPORATED·CRD# 6555

BD

Baltimore, MD

February 18, 1994 - March 12, 1999

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Current Firm

VS

VIEWTRADE SECURITIES, INC.

VIEWTRADE SECURITIES LLC | VIEWTRADE SECURITIES, INC.

CRD#: 46987 / SEC#: 8-51605

BD

Broker-Dealer Firm Regulated by FINRA (Florida district office)

Contact Information

Main Address

7280 W. Palmetto Park Rd. Suite 310, Boca Raton, FL 33433

Mailing Address

7280 W. Palmetto Park Rd. Suite 310, Boca Raton, FL 33433

Phone Number

(561) 620-0306

Established

Delaware since 03/17/2000

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
VIEWTRADE HOLDING CORPORATION	SHAREHOLDER	—
DEIHL, MEGAN KOCZAK	CHIEF FINANCIAL OFFICER	2895988
FORD, MARK ALAN	CHIEF COMPLIANCE OFFICER	1913958
PINHEIRO, DESIREE LEE	CHIEF OPERATIONS OFFICER	4444808
ROSEN, STEVEN ALLEN	SROP	1428637
STCLAIR, JAMES JOSEPH JR	PRESIDENT	1550599

Disclosures

Regulatory Event

18

Arbitration

1

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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

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Florida
(3/23/2020)

RR

New Jersey
(3/23/2020)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jun 2013About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 2008About the Series 63 exam

Series 57TO — Securities Trader Exam

Passed Jan 2023About the Series 57TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

Series 52TO — Municipal Securities Representative Examination

Passed Jan 2023About the Series 52TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 34 — Retail Off-Exchange FOREX Examination

Passed Sep 2010About the Series 34 exam

Series 3 — National Commodity Futures Examination

Passed Apr 2010About the Series 3 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Mar 2008

Series 7 — General Securities Representative Examination

Passed Feb 2008About the Series 7 exam

Series 53 — Municipal Securities Principal Examination

Passed Jan 2013About the Series 53 exam

Series 30 — NFA Branch Manager Examination

Passed Apr 2010About the Series 30 exam

Series 4 — Registered Options Principal Examination

Passed Sep 2008About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed May 2008About the Series 24 exam

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq Stock Market

SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Steven Allen Rosen's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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SR

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