Robert Rosner
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 Rosner was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1998. Robert had worked at 16 firms and has passed the Series 66, Series 63, Series 65, SIE 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
September 18, 2017 - April 1, 2019
MARINER GROUP CAPITAL MARKETS, LLC
December 22, 2016 - April 18, 2017
HIGHTOWER ADVISORS, LLC
December 21, 2016 - April 18, 2017
HIGHTOWER SECURITIES, LLC
April 15, 2016 - August 18, 2016
WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.
April 22, 2015 - April 8, 2016
PROVASI CAPITAL PARTNERS LP
April 8, 2014 - February 27, 2015
FORWARD MANAGEMENT, LLC
December 4, 2013 - March 3, 2015
ALPS DISTRIBUTORS, INC.
September 1, 2011 - August 15, 2013
NUVEEN ASSET MANAGEMENT, LLC
April 28, 2010 - September 1, 2011
NUVEEN FUND ADVISORS, LLC
April 28, 2010 - August 15, 2013
NUVEEN SECURITIES, LLC
September 30, 2009 - May 10, 2010
OLD MUTUAL INVESTMENT PARTNERS
March 2, 2007 - September 21, 2007
PROCTOR INVESTMENT DISTRIBUTORS, LLC
September 13, 2006 - March 2, 2007
OVERTURE SECURITIES LLC
May 4, 2004 - October 4, 2004
QUASAR DISTRIBUTORS, LLC
October 4, 2002 - March 10, 2003
MORGAN STANLEY DW INC.
September 20, 2000 - July 11, 2002
MORGAN STANLEY DW INC.
February 2, 1998 - June 29, 1998
GRUNTAL & CO., L.L.C.
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
MARINER GROUP CAPITAL MARKETS, LLC
CRD#: 25878 / SEC#: , 8-42116
Contact information
FINRA licenses (4 States and Territories)
Documents
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.
