Peter Michael Rosten
Professional Summary
Peter Michael Rosten is a registered financial advisor currently at THE VERTICAL GROUP located in Miami, 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
ATWOOD, MARKS & COMPANY, INC | THE VERTICAL TRADING GROUP, LLC | THE VERTICAL GROUP, INC. | THE VERTICAL GROUP
Contact Information
Main Address
130 Maple Avenue Building 5, Ph, Red Bank, NJ 07701Mailing Address
99 Wall Street Suite 2280, New York, NY 10005Phone Number
(212) 918-1202Established
New York since 08/11/2005Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (31 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(7/7/2015)
(4/8/2013)
(1/8/2013)
(4/23/2014)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Apr 2021About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Apr 2000Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 1997About the Series 6 examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Peter Michael Rosten's CRS (Customer Relationship Summary).
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