JR
Jeffrey W. Rosser
PIMCO INVESTMENTS LLC
Miami, FL 33131
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CRD#: 2382442
JR
Professional summary
Jeffrey Walter Rosser, CFP®, CIMA®, who also goes by Jeffrey W Rosser, is a registered financial professional currently at PIMCO INVESTMENTS LLC located in Miami, Florida.
Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1994. Jeffrey has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jeffrey W Rosser
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.
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Walter Rosser's 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®
Experience
Current
February 14, 2011 - Present
PIMCO INVESTMENTS LLC
Office #1: 600 Brickell Avenue 21st Floor, Miami, FL 33131BD
CRD#: 154957
Miami, FL
Past
February 22, 2010 - February 14, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
BD
CRD#: 25567
MOORESTOWN, NJ
Past
January 2, 2002 - December 31, 2003
RITTENHOUSE ASSET MANAGEMENT, INC.
RIA
CRD#: 106562
CHICAGO, IL
Past
January 2, 2002 - February 19, 2010
NUVEEN FUND ADVISORS, LLC
RIA
CRD#: 104626
CHICAGO, IL
Past
September 7, 2001 - February 19, 2010
NUVEEN SECURITIES, LLC
BD
CRD#: 469
NEW YORK, NY
Past
September 12, 1995 - August 31, 2001
MELHADO, FLYNN & ASSOCIATES, INC.
BD
CRD#: 7340
NEW YORK, NY
Past
May 1, 1995 - September 22, 1995
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
February 10, 1995 - April 6, 1995
MELHADO, FLYNN & ASSOCIATES, INC.
BD
CRD#: 7340
NEW YORK, NY
Past
November 18, 1994 - February 9, 1995
MERCER SECURITIES, LTD.
BD
CRD#: 30903
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
Alabama(2/14/2011)
RR
Alaska(2/14/2011)
RR
Arizona(2/14/2011)
RR
Arkansas(2/14/2011)
RR
California(2/14/2011)
RR
Colorado(2/14/2011)
RR
Connecticut(2/14/2011)
RR
Delaware(2/14/2011)
RR
District of Columbia(2/14/2011)
RR
Florida(2/14/2011)
RR
Georgia(2/14/2011)
RR
Hawaii(2/14/2011)
RR
Idaho(2/14/2011)
RR
Illinois(2/14/2011)
RR
Indiana(2/14/2011)
RR
Iowa(2/14/2011)
RR
Kansas(2/14/2011)
RR
Kentucky(2/14/2011)
RR
Louisiana(2/14/2011)
RR
Maine(2/14/2011)
RR
Maryland(2/14/2011)
RR
Massachusetts(2/14/2011)
RR
Michigan(2/14/2011)
RR
Minnesota(2/14/2011)
RR
Mississippi(2/14/2011)
RR
Missouri(2/14/2011)
RR
Montana(2/14/2011)
RR
Nebraska(2/14/2011)
RR
Nevada(2/14/2011)
RR
New Hampshire(2/14/2011)
RR
New Jersey(2/14/2011)
RR
New Mexico(2/14/2011)
RR
New York(2/14/2011)
RR
North Carolina(2/14/2011)
RR
North Dakota(2/14/2011)
RR
Ohio(2/14/2011)
RR
Oklahoma(2/14/2011)
RR
Oregon(2/14/2011)
RR
Pennsylvania(2/14/2011)
RR
Rhode Island(2/14/2011)
RR
South Carolina(2/14/2011)
RR
South Dakota(2/14/2011)
RR
Tennessee(2/14/2011)
RR
Texas(2/14/2011)
RR
Utah(2/14/2011)
RR
Vermont(2/14/2011)
RR
Virginia(2/14/2011)
RR
Washington(2/14/2011)
RR
West Virginia(2/14/2011)
RR
Wisconsin(2/14/2011)
RR
Wyoming(2/14/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PI
PIMCO INVESTMENTS LLC
PIMCO INVESTMENTS LLC
CRD#: 154957 / SEC#: , 8-68686
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1633 Broadway 45th Floor, New York, NY 10019
Mailing Address
1633 Broadway 45th Floor, New York, NY 10019
Phone number
(212) 776-1500
Established
Delaware since 07/07/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC INVESTMENT MANAGEMENT COMPANY LLC | SOLE MEMBER | 104559 |
| BENTLEY, JAMES DANIEL | MANAGER, BOARD OF MANAGERS | 5138093 |
| BURG, ANTHONY ALAN | TREASURER | 6005184 |
| FERRARI, DAVID RICHARD | PRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | 6004690 |
| HALL, GREGORY WESTON | PRINCIPAL EXECUTIVE OFFICER & CHAIRMAN, BOARD OF MANAGERS | 3111343 |
| MURPHY, JORDAN MITCHELL | CHIEF COMPLIANCE OFFICER | 4221561 |
| OGLESBY, SARAH JANE | SECRETARY | 7676855 |
| PITTERS, CALEB JOSEPH ALEXANDER JR | MANAGER, BOARD OF MANAGERS | 3198603 |
| SUTHERLAND, ERIC MICHAEL | PRESIDENT & MANAGER, BOARD OF MANAGERS | 1724744 |
| THOMAS, MARK GARETH | HEAD OF BUSINESS MANAGEMENT | 2923871 |
| WHITTAKER, MEGAN HAYES | AML COMPLIANCE OFFICER | 6442805 |
| WHITTEN, CANDICE STACK | MANAGER, BOARD OF MANAGERS | 4460452 |
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
PIMCO INVESTMENTS LLC
CRD#: 154957Miami, FL 33131TRUST BUT VERIFY
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