Steven E. Rossa
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.
Steven Edward Rossa, who also goes by Steve Rossa, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1994. Steven had worked at 6 firms and has passed the Series 63, Series 65, Series 79, Series 3, Series 7, Series 27, Series 4 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
September 27, 2011 - November 20, 2013
ATLAS STRATEGIC ADVISORS, LLC
February 11, 2005 - April 7, 2008
IFL CAPITAL LLC
August 8, 2003 - January 31, 2005
HOULIHAN LOKEY CAPITAL, INC.
June 29, 2000 - December 19, 2001
GOLDMAN SACHS & CO. LLC
August 30, 1997 - June 16, 2000
JPMSI
March 28, 1994 - June 24, 1997
JOHN DAWSON & ASSOCIATES, 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
Exams
Current Firm
ATLAS STRATEGIC ADVISORS, LLC
CRD#: 138970 / SEC#: , 8-67183
Contact information
FINRA licenses (10 States and Territories)
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.
