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KR

Karen L. Rosen

Some features on this profile are disabled
CRD#: 1728080
KR

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.

Karen Lyn Rosen was a registered financial professional .

Karen is a previously registered financial professional and started their career in finance in 1987. Karen had worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

January 1, 2006 - June 29, 2006

M.L. STERN & CO., LLC.

BD
CRD#: 8327
BEVERLY HILLS, CA
Past

March 17, 1999 - January 16, 2001

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

April 23, 1992 - February 24, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

January 22, 1991 - April 2, 1992

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

December 20, 1989 - January 24, 1991

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

April 11, 1988 - January 15, 1990

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

September 22, 1987 - April 11, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

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
IAR
Series 66
Date: 1/12/2006
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/2/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/1/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/28/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 10/7/1987
National Commodity Futures Examination

Current Firm

MS
M.L. STERN & CO., LLC.
M. L. STERN & CO, LLC. | M.L. STERN & CO., LLC. | M.L. STERN & CO. INC.

CRD#: 8327 / SEC#: , 8-25028

BD
Terminated by SEC on 04/04/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/08/1999
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SWS GROUP, INCDIRECT OWNDER
BENICKES, MILES LIONELEXECUTIVE VICE PRESIDENT500836
KANG, ANDREW CHANG HOFINANCIAL AND OPERATIONS PRINCIPAL; CHIEF FINANCIAL OFFICER1892286
MAURER, DAVIDCHIEF COMPLIANCE OFFICER4695817
STERN, MILFORD LEEPRESIDENT501622

Disclosures

Regulatory Event10
Arbitration7

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

M.L. STERN & CO., LLC.

CRD#: 8327

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