Robert J. Rosato
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.
Robert Joseph Rosato, who also goes by Robert Rosato, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1988. Robert had worked at 7 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2002 - September 23, 2003
WINDHAM SECURITIES, INC.
April 3, 2001 - October 25, 2001
WEATHERLY SECURITIES CORPORATION
January 15, 2000 - February 9, 2001
TASIN & COMPANY, INC.
January 10, 1997 - April 5, 1999
TASIN & COMPANY, INC.
May 22, 1996 - August 8, 1996
BISHOP, ALLEN, INC.
June 16, 1995 - May 10, 1996
DUKE & CO., INC.
November 29, 1990 - June 23, 1995
STRATTON OAKMONT INC.
March 14, 1988 - July 6, 1990
BNY MELLON SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WINDHAM SECURITIES, INC.
CRD#: 20529 / SEC#: , 8-38311
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
Red Flags
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