Marc B. Rosner
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.
Marc Brian Rosner was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1987. Marc had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2014 - February 13, 2017
MORGAN STANLEY & CO. LLC
February 5, 2013 - October 23, 2014
CITIGROUP GLOBAL MARKETS INC.
May 5, 2009 - July 9, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 5, 2006 - May 5, 2008
J.P. MORGAN SECURITIES LLC
August 8, 2001 - April 24, 2006
FLAGSTAR ADVISORS
April 26, 2000 - July 24, 2001
BUYANDHOLD SECURITIES CORPORATION
April 25, 1994 - April 12, 2000
CITICORP INVESTMENT SERVICES
April 29, 1987 - September 18, 1991
SHERMAN, FITZPATRICK & CO., INC.
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
Series 8
Date: 1/26/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MORGAN STANLEY & CO. LLC
CRD#: 8209 / SEC#: , 8-15869
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| BERKE, MATTHEW EVAN | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2524594 |
| BHAIMIA, ISMAIL OMAR | DIRECTOR | 6264162 |
| DAMAST, EVAN SCOTT | DIRECTOR | 3198635 |
| HENNESSEY, JACQUELINE A | TEXAS DESIGNATED PRINCIPAL | 2194034 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| MORANO, DAVID | PRINCIPAL OPERATIONS OFFICER | 2189287 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
| Regulatory Event | 487 |
| Civil Event | 5 |
| Arbitration | 56 |
Red Flags
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