Howard E. 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.
Howard Eric Rosen was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1991. Howard had worked at 5 firms and has passed the Series 63, Series 25 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
December 2, 2009 - June 30, 2010
MADISON PROPRIETARY TRADING GROUP, LLC
May 10, 2007 - December 11, 2007
TRIAD SECURITIES CORP
August 9, 2002 - March 14, 2006
UPHOLD SECURITIES INC.
January 27, 1999 - May 22, 2002
MOORS & CABOT, INC.
February 15, 1991 - October 11, 1991
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
Series 25
Date: 2/15/2000
NYSE Trading Assistant ExaminationCurrent Firm
MADISON PROPRIETARY TRADING GROUP, LLC
CRD#: 139818 / SEC#: , 8-67252
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMR CAPITAL TRADING CORP. | DIRECT OWNER | |
| MT TRADING, LLC | MANAGING MEMBER | |
| DELGRECO, SHARON GAIL | CHIEF COMPLIANCE OFFICER | |
| PONZO, MICHAEL SALVATORE | INTERIM CHIEF OPERATING OFFICER | |
| STEIN, HOWARD LAWRENCE | CHIEF FINANCIAL OFFICER/FINOP | 1702619 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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