Arthur C. 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.
Arthur Charles Rosen was a registered financial advisor .
Arthur is a previously registered financial advisor and started their career in finance in 1970. Arthur had worked at 12 firms and has passed the Series 65, Series 63, PC 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
June 24, 2003 - November 28, 2005
BRILL SECURITIES, INC.
March 12, 2003 - June 18, 2003
OPPENHEIMER & CO. INC.
March 12, 2003 - June 18, 2003
OPPENHEIMER & CO. INC.
August 19, 2002 - April 4, 2003
RBC CAPITAL MARKETS, LLC
March 9, 2002 - April 4, 2003
RBC CAPITAL MARKETS, LLC
October 21, 1993 - March 9, 2002
TUCKER ANTHONY INCORPORATED
July 31, 1993 - November 3, 1993
CITIGROUP GLOBAL MARKETS INC.
August 23, 1982 - July 31, 1993
LEHMAN BROTHERS INC.
May 2, 1978 - September 2, 1982
CITIGROUP GLOBAL MARKETS INC.
January 18, 1978 - May 14, 1978
LOEB PARTNERS
January 4, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
February 8, 1974 - January 4, 1977
LOEB, RHOADES & CO. INC.
July 18, 1973 - March 14, 1974
DUPONT WALSTON, INCORPORATED
December 6, 1971 - June 8, 1973
WEIS SECURITIES, INC.
April 17, 1970 - June 17, 1974
LOWENTHAL, HALE, JAFFE, 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
PC
Date: 5/31/1978
AMEX Put and Call ExamSeries 1
Date: 11/22/1971
Registered Representative ExaminationCurrent Firm
BRILL SECURITIES, INC.
CRD#: 18565 / SEC#: 801-61275, 8-36654
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
| Arbitration | 3 |
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.
