Alan J. 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.
Alan Julius Rosen, who also goes by Alan J Rosen, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1968. Alan had worked at 11 firms and has passed the Series 63, Series 3 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 1984 - April 17, 1984
QUINN & CO., INC.
April 20, 1983 - April 4, 1985
COMSTOCK INVESTMENTS, INC.
June 18, 1982 - June 21, 1982
G.C.N. CORP.
January 21, 1981 - April 5, 1982
DOMIK CORP.
September 3, 1980 - January 31, 1981
WALLACH SECURITIES OF FLORIDA, INC.
September 26, 1978 - March 1, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 6, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
November 30, 1977 - May 7, 1978
COMSTOCK INVESTMENTS, INC.
January 11, 1977 - October 6, 1977
CLAYTON BROKERAGE CO. OF ST. LOUIS, INC.
September 12, 1975 - January 31, 1977
REYNOLDS SECURITIES, INC.
March 23, 1973 - October 27, 1975
SHEARSON HAYDEN STONE INC.
December 18, 1968 - May 4, 1973
E. F. HUTTON & COMPANY 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 1
Date: 12/16/1968
Registered Representative ExaminationCurrent Firm
QUINN & CO., INC.
CRD#: 687 / SEC#: , 8-14364
Contact information
Documents
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.
