Edward S. Rosenbaum
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.
Edward Simon Rosenbaum was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1997. Edward had worked at 7 firms and has passed the Series 66, Series 63, 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 9, 2011 - September 14, 2020
FRANKLIN DISTRIBUTORS, LLC
April 3, 2008 - December 9, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 3, 2008 - December 9, 2008
TEACHERS PERSONAL INVESTORS SERVICES, INC.
July 3, 2003 - October 31, 2003
METROPOLITAN LIFE INSURANCE COMPANY
July 3, 2003 - October 31, 2003
MSI FINANCIAL SERVICES, INC.
May 19, 1999 - June 9, 1999
PRUDENTIAL EQUITY GROUP, LLC
June 20, 1997 - April 16, 1998
WORLDSEC INTERNATIONAL SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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