Seth 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.
Seth Rosen was a registered financial professional .
Seth is a previously registered financial professional and started their career in finance in 1997. Seth had worked at 5 firms and has passed the Series 63, Series 25, Series 55 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 31, 2002 - May 21, 2013
DIRECT ACCESS PARTNERS LLC
August 14, 2000 - November 20, 2002
BREAN MURRAY & CO., INC.
July 28, 1999 - August 11, 2000
NATIONAL FINANCIAL SERVICES LLC
February 2, 1998 - June 29, 1999
CIBC WORLD MARKETS CORP.
January 28, 1997 - July 17, 1998
DUKE & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 25
Date: 8/14/2002
NYSE Trading Assistant ExaminationSeries 55
Date: 10/18/1999
Limited Representative-Equity Trader ExamCurrent Firm
DIRECT ACCESS PARTNERS LLC
CRD#: 120950 / SEC#: , 8-65361
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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