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RR

Robert L. Rosenstein

MOODY CAPITAL SOLUTIONS,
Atlanta, GA
Some features on this profile are disabled
CRD#: 2195737
RR

Professional summary

Robert Lloyd Rosenstein is a registered financial professional currently at MOODY CAPITAL SOLUTIONS, INC located in Atlanta, Georgia.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1991. Robert has worked at 8 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Lloyd Rosenstein's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 18, 2011 - Present

MOODY CAPITAL SOLUTIONS, INC

BD
CRD#: 15989
Atlanta, GA
Past

March 11, 2010 - July 20, 2011

LADENBURG THALMANN ASSET MANAGEMENT INC

RIA
CRD#: 108604
MIAMI, FL
Past

March 9, 2010 - July 20, 2011

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
MIAMI, FL
Past

January 14, 2008 - March 10, 2010

MIDSOUTH CAPITAL, INC.

RIA
CRD#: 35039
ATLANTA, GA
Past

January 14, 2008 - March 10, 2010

MIDSOUTH CAPITAL, INC.

BD
CRD#: 35039
ATLANTA, GA
Past

December 16, 2004 - October 10, 2007

MIDSOUTH CAPITAL, INC.

RIA
CRD#: 35039
ALPHARETTA, GA
Past

December 3, 2004 - October 10, 2007

MIDSOUTH CAPITAL, INC.

BD
CRD#: 35039
ALPHARETTA, GA
Past

July 15, 1999 - February 25, 2005

CARDINAL SECURITIES LLC

BD
CRD#: 46731
ALPHARETTA, GA
Past

November 22, 1995 - December 6, 1995

JWGENESIS SECURITIES, INC.

BD
CRD#: 33832
BOCA RATON, FL
Past

April 16, 1993 - June 5, 1997

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

December 20, 1991 - April 21, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(4/2/2021)
RR
Colorado
(4/2/2021)
RR
Connecticut
(5/4/2017)
RR
Georgia
(10/18/2011)
RR
New Jersey
(9/8/2021)
RR
New York
(10/18/2011)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/25/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/6/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/19/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/1/1999
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MC
MOODY CAPITAL SOLUTIONS, INC
MIDSOUTH CAPITAL MARKETS GROUP | REDCHIP SECURITIES, INC. | PENN CENTER INVESTMENTS, INC. | MOODY CAPITAL SOLUTIONS, INC. | MOODY CAPITAL SOLUTIONS, INC | MOODY CAPITAL SOLUTION, INC.

CRD#: 15989 / SEC#: , 8-32928

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
2458 Dunkerrin Lane, Atlanta, GA 30360
Mailing Address
2458 Dunkerrin Lane, Atlanta, GA 30360
Phone number
(770) 377-3556
Established
Pennsylvania since 10/15/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GROWTH FOUNTAIN HOLDINGS, INC.OWNER
KREGER, RICHARD HENRICEO2647135
LENART, BRIAN DOUGLASFINOP/PFO/POO736107
ROSENSTEIN, ROBERT LLOYDPRESIDENT/CCO2195737

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.

Company Information

MOODY CAPITAL SOLUTIONS, INC

CRD#: 15989Atlanta, GA

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