Michael S. Rosen
Professional summary
Michael Scott Rosen is a registered financial advisor currently at MAREX CAPITAL MARKETS INC. located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1986. Michael has worked at 8 firms and has passed the Series 66, Series 63, Series 57TO, Series 99TO, Series 79TO, SIE, Series 3, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Scott Rosen's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 1, 2023 - Present
MAREX CAPITAL MARKETS INC.
Office #1: 140 East 45th Street 10th Floor, New York, NY 10017August 16, 2021 - December 15, 2023
COWEN AND COMPANY
February 18, 2014 - March 14, 2011
COWEN PRIME SERVICES LLC
November 1, 2010 - February 10, 2022
COWEN PRIME SERVICES LLC
July 1, 2000 - October 25, 2011
SANDERS MORRIS LLC
March 11, 1997 - July 1, 2000
BLACKFORD SECURITIES CORP.
February 6, 1995 - March 7, 1997
LAZARD FRERES & CO. LLC
October 6, 1989 - July 31, 1992
CITIGROUP GLOBAL MARKETS INC.
April 23, 1986 - October 4, 1989
DREXEL BURNHAM LAMBERT 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
(12/1/2023)
(12/1/2023)
(12/20/2023)
(12/1/2023)
(12/1/2023)
(12/1/2023)
(1/3/2024)
(12/1/2023)
(1/2/2024)
(12/1/2023)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 1/19/2005
Limited Representative-Equity Trader ExamCboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Current Firm
MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
Red Flags
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