Max E. Rosado
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.
Max Evan Rosado was a registered financial professional .
Max is a previously registered financial professional and started their career in finance in 1997. Max had worked at 8 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
June 28, 2001 - September 9, 2003
FIRST MONTAUK SECURITIES CORP.
January 2, 2001 - June 25, 2001
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 3, 2000 - January 2, 2001
JWGENESIS SECURITIES, INC.
May 5, 1999 - December 31, 1999
JWGENESIS FINANCIAL GROUP, INC
January 14, 1999 - June 29, 1999
J. BANKS COMPANY
December 22, 1998 - January 19, 1999
ROYAL HUTTON SECURITIES CORP.
June 10, 1998 - December 22, 1998
PACIFIC CORTEZ SECURITIES INCORPORATED
April 16, 1997 - January 23, 1998
D.L. CROMWELL INVESTMENTS, 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
FIRST MONTAUK SECURITIES CORP.
CRD#: 13755 / SEC#: , 8-29748
Contact information
Documents
Disclosures
| Regulatory Event | 25 |
| Arbitration | 28 |
| Bond | 5 |
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.
