Jerome E. Rosen
Professional summary
Jerome Edward Rosen was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jerome is a previously registered financial professional and started their career in finance in 1973. Prior to being barred, Jerome had worked at 8 firms, which includes J. ALEXANDER SECURITIES INC., REYNOLDS KENDRICK STRATTON INC., EMANUEL AND COMPANY, GUARDIAN EQUITIES GROUP INC., VANDERBILT SECURITIES INC., PRESTIGE INVESTORS INC., NORBAY SECURITIES INC., NORTH BAYSIDE SECURITIES COMPANY OF NY INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 1995 - May 23, 2002
J. ALEXANDER SECURITIES, INC.
March 4, 1994 - July 20, 1994
REYNOLDS KENDRICK STRATTON, INC.
November 26, 1990 - March 31, 1994
EMANUEL AND COMPANY
April 18, 1990 - March 26, 1991
GUARDIAN EQUITIES GROUP, INC.
January 5, 1988 - November 30, 1993
VANDERBILT SECURITIES, INC.
October 7, 1986 - July 6, 1987
PRESTIGE INVESTORS, INC.
October 29, 1975 - April 1, 1986
NORBAY SECURITIES INC.
September 4, 1973 - December 5, 1975
NORTH BAYSIDE SECURITIES COMPANY OF NY INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 9/22/2000
Limited Representative-Equity Trader ExamSeries 00
Date: 8/30/1973
General Securities Principal ExaminationCurrent Firm
J. ALEXANDER SECURITIES, INC.
CRD#: 7809 / SEC#: , 8-23204
Contact information
Documents
Disclosures
| Regulatory Event | 24 |
| Arbitration | 4 |
| Judgment/Lien | 1 |
Red Flags
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