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Peter M. Rosten

THE VERTICAL GROUP
MIAMI BEACH, FL 33139
Some features on this profile are disabled
CRD#: 2973115
PR

Professional summary

Peter Michael Rosten is a registered financial professional currently at THE VERTICAL GROUP located in Miami Beach, Florida.

Peter is registered as a RR (Registered Representative) and started their career in finance in 1997. Peter has worked at 8 firms and has passed the Series 63, Series 57TO, Series 79TO, SIE, Series 55, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Peter Michael Rosten's CRS (Customer Relationship Summary).

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

Current

January 8, 2013 - Present

THE VERTICAL GROUP

Office #1: 1688 Meridian Avenue, Suite 723, Miami Beach, FL 33139
BD
CRD#: 104353
MIAMI BEACH, FL
Past

September 10, 2021 - February 7, 2023

SOUTH FORK SECURITIES

BD
CRD#: 311469
Miami Beach, FL
Past

December 7, 2012 - January 2, 2013

CELADON FINANCIAL GROUP LLC

BD
CRD#: 36538
NEW YORK, NY
Past

September 27, 2007 - December 10, 2012

THE VERTICAL GROUP

BD
CRD#: 104353
RED BANK, NJ
Past

January 2, 2007 - September 20, 2007

RBC CAPITAL MARKETS CORPORATION

BD
CRD#: 6579
NEW YORK, NY
Past

December 2, 2003 - January 2, 2007

CARLIN EQUITIES, LLC

BD
CRD#: 31295
NEW YORK, NY
Past

December 17, 2002 - January 6, 2004

THE VERTICAL GROUP

BD
CRD#: 104353
RED BANK, NJ
Past

October 30, 2000 - August 19, 2002

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

November 5, 1999 - November 2, 2000

SHARPE CAPITAL, INC.

BD
CRD#: 18452
NEW YORK, NY
Past

December 10, 1997 - May 10, 1999

NEUBERGER BERMAN MANAGEMENT LLC

BD
CRD#: 5493
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(7/7/2015)
RR
Florida
(4/8/2013)
RR
New York
(1/8/2013)
RR
Texas
(4/23/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 4/13/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 79TO
Date: 4/22/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/1/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/13/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/9/1997
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/5/2003
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

TV
THE VERTICAL GROUP
ATWOOD, MARKS & COMPANY, INC | THE VERTICAL TRADING GROUP, LLC | THE VERTICAL GROUP, INC. | THE VERTICAL GROUP

CRD#: 104353 / SEC#: , 8-52814

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
130 Maple Avenue Building 5, Ph, Red Bank, NJ 07701
Mailing Address
99 Wall Street Suite 2280, New York, NY 10005
Phone number
(212) 918-1202
Established
New York since 08/11/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (30 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
RAS HOLDINGS, LLCPARENT COMPANY
MARTIN, THOMAS DOMINICKFINOP, GSP (12/2003), CCO (3/2016)2363939
SCHAFFER, ROBERT ANDREWCEO, EXECUTIVE REPRESENTATIVE, GSP (12/2003)2743384

Disclosures

Regulatory Event13

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

THE VERTICAL GROUP

CRD#: 104353Miami Beach, FL 33139

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