Simon Alexander Rose
Professional Summary
Simon Alexander Rose, who also goes by Simon Rose, is a registered financial advisor currently at ROSE & CO. CAPITAL ADVISORS, LLC located in New York, New York. Simon is registered as a RR (Registered Representative) and started their career in finance in 1991. Simon has worked at 8 firms and has passed the Series 63, Series 79TO, Series 57TO, Series 7TO, SIE, Series 55, Series 7, Series 14 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Simon Rose
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
35 years in the financial services industry
Current & Past Employments
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Current Firm
ROSE & CO. CAPITAL ADVISORS, LLC
Contact Information
Main Address
445 Park Avenue Suite 700, New York, NY 10022Mailing Address
445 Park Avenue Suite 700, New York, NY 10022Phone Number
(212) 359-2230Established
Delaware since 06/10/2013Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(5/22/2014)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Dec 2000SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Simon Alexander Rose's CRS (Customer Relationship Summary).
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