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Richard L. Rosen

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CRD#: 1643922
RR

Professional summary

Richard Lewis Rosen was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Richard is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Richard had worked at 13 firms, which includes POST-LANE & CO. LLC, ARJENT LTD., BRILL SECURITIES INC., FIRST METROPOLITAN SECURITIES INC., LT LAWRENCE & CO. INC., FAB SECURITIES OF AMERICA INC., HORNBLOWER & WEEKS INC., HFC CAPITAL CORP., NORTHEAST SECURITIES LLC, CITIGROUP GLOBAL MARKETS INC., D. H. BLAIR & CO. INC., STERLING & YORKE SECURITIES CORP., JOSEPHTHAL & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rich Rosen

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 2, 1999 - June 2, 2005

POST-LANE & CO., LLC

BD
CRD#: 46043
NEW YORK, NY
Past

October 21, 1998 - February 23, 1999

ARJENT LTD.

BD
CRD#: 35909
NEW YORK, NY
Past

August 13, 1998 - September 10, 1998

BRILL SECURITIES, INC.

BD
CRD#: 18565
NEW YORK, NY
Past

November 12, 1997 - February 11, 1998

FIRST METROPOLITAN SECURITIES, INC.

BD
CRD#: 7594
NEW YORK, NY
Past

May 6, 1997 - December 2, 1997

LT LAWRENCE & CO., INC.

BD
CRD#: 31956
NEW YORK, NY
Past

February 19, 1997 - April 22, 1997

FAB SECURITIES OF AMERICA, INC.

BD
CRD#: 28212
NEW YORK, NY
Past

September 6, 1996 - March 10, 1997

HORNBLOWER & WEEKS, INC.

BD
CRD#: 4683
NEW YORK, NY
Past

February 5, 1996 - August 30, 1996

HFC CAPITAL CORP.

BD
CRD#: 30539
NEW YORK, NY
Past

August 29, 1995 - January 21, 1996

NORTHEAST SECURITIES, LLC

BD
CRD#: 25996
MITCHELFIELD, NY
Past

August 30, 1993 - June 29, 1995

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

May 19, 1989 - September 15, 1993

D. H. BLAIR & CO., INC.

BD
CRD#: 6833
NEW YORK, NY
Past

December 1, 1988 - May 15, 1989

STERLING & YORKE SECURITIES CORP.

BD
CRD#: 15488
Past

April 19, 1988 - December 5, 1988

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/9/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/16/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/24/1995
General Securities Principal Examination

Current Firm

P&
POST-LANE & CO., LLC
POST-LANE & CO., LLC

CRD#: 46043 / SEC#: , 8-51279

BD
Terminated by SEC on 06/17/2005
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 08/04/1998
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
IDT ASSOCIATES, LLCPARENT
ROSEN, RICHARD LEWISPRESIDENT, GSP, TREASURER, CCO1643922

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.

Company Information

POST-LANE & CO., LLC

CRD#: 46043

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