Simon A. Rose
Professional summary
Simon Alexander Rose, who also goes by Simon Rose, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Simon Alexander Rose's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 21, 2014 - Present
ROSE & CO. CAPITAL ADVISORS, LLC
Office #1: 445 Park Avenue Suite 700, New York, NY 10022May 12, 2003 - July 1, 2011
COWEN SECURITIES LLC
October 19, 2000 - May 9, 2003
PUGLISI & CO.
September 15, 1999 - June 6, 2000
TEJAS SECURITIES GROUP, INC.
April 6, 1998 - August 30, 1999
DEMATTEO RESEARCH LLC
February 20, 1996 - March 19, 1998
PRIME CHARTER LTD.
March 15, 1993 - February 26, 1996
CIBC WORLD MARKETS CORP.
September 20, 1991 - March 25, 1993
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/22/2014)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 55
Date: 12/6/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
ROSE & CO. CAPITAL ADVISORS, LLC
CRD#: 168274 / SEC#: , 8-69298
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
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