Ben P. Rosenbaum
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.
Ben Peter Rosenbaum, who also goes by Ben Rosenbaum, was a registered financial professional .
Ben is a previously registered financial professional and started their career in finance in 1997. Ben had worked at 6 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2004 - April 9, 2004
LH ROSS & COMPANY, INC.
November 6, 2001 - April 15, 2002
G.T. JEFFERS & COMPANY, LLC
July 23, 2001 - October 19, 2001
J.P. TURNER & COMPANY, L.L.C.
May 23, 2001 - July 23, 2001
RUMSON CAPITAL, LLC
March 1, 2001 - May 22, 2001
RUMSON CAPITAL, LLC
March 15, 2000 - March 15, 2001
SOGOTRADE, INC.
October 15, 1999 - December 3, 1999
GKN SECURITIES CORP.
March 9, 1999 - April 19, 1999
GKN SECURITIES CORP.
October 16, 1997 - June 29, 1998
GKN SECURITIES CORP.
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
Series 55
Date: 2/7/2001
Limited Representative-Equity Trader ExamCurrent Firm
LH ROSS & COMPANY, INC.
CRD#: 37920 / SEC#: , 8-47990
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LH ROSS HOLDING CORP. | PARENT COMPANY | |
| MICHELIN, FRANKLYN ROSS | PRESIDENT | 2459180 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 15 |
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.
