Ross A. Rozen
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.
Ross Alan Rozen was a registered financial professional .
Ross is a previously registered financial professional and started their career in finance in 1991. Ross had worked at 3 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 1994 - August 28, 2000
INVESCO DISTRIBUTORS, INC.
June 5, 1993 - July 29, 1993
R.K. STEELE
October 25, 1991 - June 15, 1993
WESTMARK SECURITIES CORPORATION
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
INVESCO DISTRIBUTORS, INC.
CRD#: 289 / SEC#: , 8-2856
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO | SOLE SHAREHOLDER OF IDI | 106529 |
| CAROME, KEVIN MICHAEL | DIRECTOR, VICE PRESIDENT | 4307331 |
| HAWLEY, DAWN MARIE | TREASURER, VICE PRESIDENT | 1771748 |
| MAYO, OFELIA MARINA | GENERAL COUNSEL, VICE PRESIDENT | 1682909 |
| MOSS, LISA ANNE | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2722352 |
| NEEDLES, GENE LOUIS JR | PRESIDENT, DIRECTOR, CHIEF EXECUTIVE OFFICER | 1068224 |
| STARLING-KLATT, REBECCA ALLISON | CHIEF COMPLIANCE OFFICER | 2385771 |
| WILLIAMSON, MARK HURST | DIRECTOR, CHAIRMAN | 820997 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Bond | 3 |
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.
