Laurence A. Rossen
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.
Laurence Alan Rossen was a registered financial professional .
Laurence is a previously registered financial professional and started their career in finance in 1994. Laurence had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2016 - August 19, 2016
NEXT FINANCIAL GROUP, INC.
April 8, 2014 - September 30, 2014
RESOURCE HORIZONS GROUP LLC
August 26, 2003 - September 22, 2012
NEXT FINANCIAL GROUP, INC.
July 27, 1999 - September 2, 2003
FINANCIAL SECURITY MANAGEMENT, INCORPORATED
February 15, 1999 - July 27, 1999
WALNUT STREET SECURITIES, INC.
November 13, 1996 - January 6, 1999
MML INVESTORS SERVICES, LLC
March 22, 1996 - November 9, 1996
WALNUT STREET SECURITIES, INC.
March 1, 1996 - April 3, 1996
MML INVESTORS SERVICES, LLC
June 1, 1994 - March 1, 1996
G. R. PHELPS & 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
Current Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
