Bruce A. 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.
Bruce Alan Rosen was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 2003. Bruce had worked at 3 firms and has passed the Series 63, Series 7, Series 3, Series 4, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2010 - February 27, 2012
HEIGHTS PARTNERS, INC.
July 27, 2007 - June 5, 2008
DIVINE CAPITAL MARKETS LLC
June 29, 2005 - July 27, 2007
HEIGHTS PARTNERS, INC.
September 26, 2003 - October 7, 2005
BRIGHTFIELD, LLC
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
HEIGHTS PARTNERS, INC.
CRD#: 32328 / SEC#: , 8-33832
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAPPAS, JAMES THOMAS | PRESIDENT, SECRETARY AND TREASURER/CCO | 1777374 |
Disclosures
| Regulatory Event | 5 |
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.
