Lee S. Rosen
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.
Lee Stuart Rosen was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 1989. Lee had worked at 9 firms and has passed the Series 63, Series 55, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 1998 - April 8, 1998
BROADWAY TRADING, LLC
January 2, 1997 - September 12, 1997
FIRST COLONIAL SECURITIES
July 6, 1995 - September 19, 1996
DONALD & CO. SECURITIES INC.
January 28, 1995 - June 7, 1995
UBS FINANCIAL SERVICES INC.
April 20, 1994 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
July 31, 1993 - April 26, 1994
CITIGROUP GLOBAL MARKETS INC.
April 2, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
September 16, 1991 - April 12, 1993
RAYMOND JAMES & ASSOCIATES, INC.
May 23, 1989 - September 17, 1991
A. G. EDWARDS & SONS, 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 55
Date: 4/4/2001
Limited Representative-Equity Trader ExamCurrent Firm
BROADWAY TRADING, LLC
CRD#: 42429 / SEC#: , 8-49848
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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