Phillip B. 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.
Phillip Bradley Rosen, who also goes by Phil Rosen, was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1996. Phillip had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2017 - December 31, 2018
ON INVESTMENT MANAGEMENT CO
April 19, 2017 - December 31, 2018
THE O.N. EQUITY SALES COMPANY
June 18, 2014 - August 6, 2015
STATE FARM VP MANAGEMENT CORP.
March 16, 2012 - October 3, 2013
NEW ENGLAND SECURITIES
November 6, 1996 - August 23, 2010
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
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 INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,053 |
| AUM (Assets Under Management) | $ 2,376,953,646 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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