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ER

Evan S. Rosenfeld

Some features on this profile are disabled
CRD#: 2788398
ER

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.

Evan Seth Rosenfeld, who also goes by Evan Rosen, Evan Rosenfeld, was a registered financial professional .

Evan is a previously registered financial professional and started their career in finance in 1997. Evan had worked at 8 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Evan Rosen | Evan Rosenfeld

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)

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

March 17, 2006 - August 19, 2008

WHITAKER SECURITIES LLC

BD
CRD#: 121465
NEW YORK, NY
Past

February 4, 2005 - June 5, 2006

GRANITE ASSOCIATES, INC

BD
CRD#: 46682
MELVILLE, NY
Past

January 6, 2005 - February 17, 2005

SECURITIES SERVICE NETWORK, LLC

BD
CRD#: 13318
KNOXVILLE, TN
Past

July 6, 2004 - December 31, 2004

CANTELLA & CO., INC.

BD
CRD#: 13905
MALDEN, MA
Past

November 20, 2002 - July 9, 2004

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

October 1, 1998 - November 20, 2002

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY
Past

June 16, 1998 - September 1, 1998

JOSEPH GUNNAR & CO. LLC

BD
CRD#: 24795
UNIONDALE, NY
Past

March 3, 1998 - June 30, 1998

AIBC INVESTMENT SERVICES CORPORATION

BD
CRD#: 16397
Past

January 17, 1997 - March 5, 1998

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY

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
RR
Series 63
Date: 2/13/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/16/1997
General Securities Representative Examination

Current Firm

WS
WHITAKER SECURITIES LLC
QUEST BROKERS | WHITAKER SECURITIES LLC

CRD#: 121465 / SEC#: , 8-65419

BD
Terminated by SEC on 09/16/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 05/13/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
NICOSIA, ROSALIE MARGARETCHIEF COMPLIANCE OFFICER, CRCP4239124

Disclosures

Regulatory Event6

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

WHITAKER SECURITIES LLC

CRD#: 121465

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