Jeffrey E. 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.
Jeffrey Eric Rosen was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1985. Jeffrey had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 1989 - October 17, 1989
THE STUART-JAMES COMPANY, INCORPORATED
February 16, 1988 - July 20, 1988
F.D. ROBERTS SECURITIES, INC.
January 14, 1988 - February 27, 1988
ISLAND PLANNING CORP. OF AMERICA
March 21, 1986 - September 12, 1986
MICHELIN AND COMPANY, INC.
November 19, 1985 - March 24, 1986
THE STUART-JAMES COMPANY, 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
Exams
Current Firm
THE STUART-JAMES COMPANY, INCORPORATED
CRD#: 11691 / SEC#: , 8-26610
Contact information
Documents
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.
