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ER

Eric M. Rose

STONEX FINANCIAL
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 2627967
ER

Professional summary

Eric Marshall Rose, who also goes by Rose Marshall Eric Marshall, Eric Marshall Rose, is a registered financial professional currently at STONEX FINANCIAL INC. located in Stamford, Connecticut.

Eric is registered as a RR (Registered Representative) and started their career in finance in 1997. Eric has worked at 7 firms and has passed the Series 63, Series 3, Series 57TO, SIE, Series 87, Series 55, Series 7, Series 24, Series 4, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rose Marshall Eric Marshall | Eric Marshall Rose

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 Eric Marshall Rose'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

January 29, 2024 - Present

STONEX FINANCIAL INC.

Office #1: 850 Canal Street 3rd Floor, Stamford, CT 06902
BD
CRD#: 45993
Stamford, CT
Past

January 18, 2017 - June 27, 2023

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

February 4, 2008 - October 25, 2016

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

January 14, 2008 - February 4, 2008

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

March 7, 2007 - January 14, 2008

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

April 23, 2004 - March 2, 2007

CATHAY FINANCIAL INC

BD
CRD#: 30065
NEW YORK, NY
Past

November 10, 1997 - May 11, 2004

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
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
Connecticut
(1/29/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 11/24/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 10/11/2024
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 1/25/2006
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 55
Date: 6/2/2004
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/8/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/4/2006
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/13/2003
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 10/23/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/3/2000
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SF
STONEX FINANCIAL INC.
INTERNATIONAL TRADER ASSOCIATION, INC. | STONEX FINANCIAL INC. | STONEX | INTLTRADER.COM, INC. | INTL TRADING, INC. | INTL FCSTONE SECURITIES INC. | INTL FCSTONE FINANCIAL INC.

CRD#: 45993 / SEC#: , 8-51269

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

Main Address
329 Park Avenue North Suite 350, Winter Park, FL 32789
Mailing Address
329 Park Avenue North Suite 350, Winter Park, FL 32789
Phone number
(407) 741-5300
Established
Florida since 05/29/1998
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (53 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#
STONEX GROUP INC.OWNER
BOLTE, DAVID ALBERTSECRETARY2711410
DAVISON, STUART ANDREWDIRECTOR; CHIEF OPERATING OFFICER7824576
DICIOLLO, ANTHONY JOSEPHPRESIDENT/DIRECTOR/CEO SECURITIES4976402
DUNAWAY, WILLIAM JOHNDIRECTOR, CHIEF FINANCIAL OFFICER6505923
LYON, CHARLES MARTINDIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER4000852
MAURER, MARK LDIRECTOR, CHIEF RISK OFFICER4234406
PORZIO, JOSEPH JOHNFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER1319702
SMITH, PHILIP ANDREWDIRECTOR4999097
SZEKELY, GIGI KLARACHIEF COMPLIANCE OFFICER - BD DIVISION2530826

Disclosures

Regulatory Event76

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

STONEX FINANCIAL INC.

CRD#: 45993Stamford, CT 06902

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