Steven A. Rosen
Professional summary
Steven Allen Rosen is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Allen Rosen's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 23, 2020 - Present
VIEWTRADE SECURITIES, INC.
Office #1: 7280 W. Palmetto Park Rd. Suite 310, Boca Raton, FL 33433October 8, 2014 - March 23, 2020
B. RILEY WEALTH ADVISORS, INC.
September 25, 2014 - March 23, 2020
NATIONAL SECURITIES CORPORATION
September 23, 2014 - February 24, 2018
VFINANCE INVESTMENTS, INC
July 12, 2013 - September 18, 2014
NFSG CORPORATION
January 18, 2012 - September 18, 2014
NEWBRIDGE SECURITIES CORPORATION
January 31, 2011 - August 22, 2011
MSI FINANCIAL SERVICES, INC.
February 26, 2008 - January 24, 2011
TRADESTATION SECURITIES, INC.
January 7, 2003 - March 12, 2003
LADENBURG THALMANN & CO. INC.
July 24, 2001 - July 31, 2001
PROGRAM TRADING CORP.
January 2, 2001 - July 16, 2001
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 24, 2000 - January 2, 2001
JWGENESIS SECURITIES, INC.
February 18, 1994 - March 12, 1999
LEGG MASON WOOD WALKER, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/23/2020)
(3/23/2020)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 3/21/2008
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
NYSE Arca, Inc.
Nasdaq Stock Market
Current Firm
VIEWTRADE SECURITIES, INC.
CRD#: 46987 / SEC#: , 8-51605
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
| Arbitration | 1 |
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Company Information
VIEWTRADE SECURITIES, INC.
CRD#: 46987Boca Raton, FL 33433TRUST BUT VERIFY
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