Mark W. Rosen
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.
Mark William Rosen was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1995. Mark had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 1999 - May 9, 2000
ON-SITE TRADING, INC.
September 9, 1999 - September 9, 1999
NORTHRIDGE CAPITAL CORPORATION
August 24, 1998 - September 9, 1999
G.F.B. SECURITIES, INC.
September 5, 1997 - August 20, 1998
ROBERT THOMAS SECURITIES, INC
May 9, 1997 - August 12, 1997
ARGENT SECURITIES, INC.
February 25, 1997 - March 19, 1997
INVESTORS ASSOCIATES, INC.
October 12, 1995 - February 21, 1997
STERLING FOSTER & COMPANY, 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
ON-SITE TRADING, INC.
CRD#: 30271 / SEC#: , 8-47104
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ON-SITE ENERGY SYSTEMS, INC. | SHAREHOLDER | |
| STIEVELMAN, JACK | SHAREHOLDER | 2571504 |
| MEDNICK, GARY DAVID | PRESIDENT-CEO | 735786 |
| LIPSKY, ROBERT MARK | SHAREHOLDER | 2111939 |
| BASKIND, ROBERT P | SHAREHOLDER | |
| BERGLEITNER, GEORGE CHARLES III | SROP/CROP | 1247338 |
| BOCCIO, FRANK LOUIS | CFO | 24461 |
| JAHRE, HOWARD GORDON | CHAIRMAN | 2238671 |
| NWAIGWE, LINUS NKEM | CHEIF COMPLIANCE OFFICER | 2613032 |
| STONE, ARTHUR | COMPLIANCE OFFICER | 437238 |
Disclosures
| Regulatory Event | 3 |
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.
