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JR

John K. Rosen

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CRD#: 2662946
JR

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.

John Kyle Rosen was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1995. John had worked at 4 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
I AM THE MANAGING MEMBER OF ROSEN CAPITAL MANAGEMENT, LLC SINCE APRIL 1999. THE BUSINESS IS AN INVESTMENT ADVISER AND IS INVESTMENT-RELATED. THE BUSINESS ADDRESS IS 2400 BROADWAY, SUITE 220, SANTA MONICA, CA 90404. I DEVOTE APPROXIMATELY 240 HOURS A MONTH TO THE BUSINESS AND APPROXIMATELY 35 HOURS A MONTH DURING TRADING HOURS TO THE BUSINESS. MY DUTIES INCLUDING MANAGING THE OPERATIONS OF THE BUSINESS AND PERFORMING PORTFOLIO MANAGEMENT SERVICES ON BEHALF OF THE BUSINESS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 7, 2012 - March 6, 2023

ROSEN CAPITAL ADVISORS, LLC

RIA
CRD#: 161161
LOS ANGELES, CA
Past

February 22, 2006 - January 10, 2007

SHORELINE TRADING GROUP LLC

BD
CRD#: 41888
SANTA MONICA, CA
Past

January 10, 2003 - November 25, 2008

ROSEN CAPITAL MANAGEMENT LLC

RIA
CRD#: 109281
SANTA MONICA, CA
Past

October 6, 1995 - February 21, 2006

STROME SECURITIES, L.P.

BD
CRD#: 29682
SANTA MONICA, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/5/2012
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/2/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 8/4/2016
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/5/1995
General Securities Representative Examination

Current Firm

RC
ROSEN CAPITAL ADVISORS, LLC
ROSEN CAPITAL ADVISORS, LLC

CRD#: 161161 / SEC#: 802-127595

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Contact information

Main Address
11835 W. Olympic Blvd., Suite 640e, New York, NY 90064
Mailing Address
Phone number
(310) 573-8523
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
SECERA - Withdrawn1/16/2024

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ROSEN CAPITAL ADVISORS, LLC

CRD#: 161161

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