Andrew L. 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.
Andrew Laurence Rosen, who also goes by Andrew L Rosen, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1997. Andrew had worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 87, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2012 - April 14, 2021
UNITED FIRST PARTNERS LLC
April 2, 2009 - April 27, 2011
CITIGROUP GLOBAL MARKETS INC.
August 28, 2006 - April 7, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 30, 2004 - February 24, 2005
TEMPO CAPITAL CORPORATION
November 28, 1997 - March 7, 2002
CITIGROUP GLOBAL MARKETS INC.
September 23, 1997 - September 1, 1998
SALOMON BROTHERS 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
Series 55
Date: 8/3/2001
Limited Representative-Equity Trader ExamCurrent Firm
UNITED FIRST PARTNERS LLC
CRD#: 155456 / SEC#: , 8-68718
Contact information
FINRA licenses (14 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HADJEDJ, MICHAEL SIMON | PRESIDENT, ELECTED MANAGER | 5854635 |
| MARDEL, STEPHANE CHARLES | CO-PRESIDENT | 5854634 |
| DICKERSON, ELIZABETH ANNE | CHIEF COMPLIANCE OFFICER | 1917497 |
| DOHERTY, JAMES HUGH | PRINCIPAL OPERATIONS OFFICER | 4197747 |
| SINELNIKOV, PETER SERGEY | PRINCIPAL FINANCIAL OFFICER | 6493208 |
| UNITED FIRST PARTNERS HOLDINGS, LLC | SOLE MEMBER |
Disclosures
| Regulatory Event | 4 |
Red Flags
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