Michael R. Rosalia
Professional summary
Michael Richard Rosalia was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Michael had worked at 7 firms, which includes SW FINANCIAL, WORDEN CAPITAL MANAGEMENT LLC, ROCKWELL GLOBAL CAPITAL LLC, AMERICAN CAPITAL PARTNERS LLC, LADENBURG THALMANN & CO. INC., LADENBURG CAPITAL MANAGEMENT INC., ROYCE INVESTMENT GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2021 - August 29, 2022
SW FINANCIAL
December 2, 2015 - April 12, 2021
WORDEN CAPITAL MANAGEMENT LLC
February 28, 2013 - December 2, 2015
ROCKWELL GLOBAL CAPITAL LLC
April 13, 2006 - February 8, 2013
AMERICAN CAPITAL PARTNERS, LLC
November 20, 2002 - April 20, 2006
LADENBURG THALMANN & CO. INC.
September 1, 1994 - November 20, 2002
LADENBURG CAPITAL MANAGEMENT INC.
June 11, 1993 - August 31, 1994
ROYCE INVESTMENT GROUP, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
Red Flags
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