Kenneth A. 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.
Kenneth Allen Rosen, who also goes by Kenneth Allan Rosen, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1968. Kenneth had worked at 16 firms and has passed the SIE, Series 1, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2019 - November 11, 2020
IBN FINANCIAL SERVICES, INC.
May 5, 2016 - April 29, 2019
NATIONAL SECURITIES CORPORATION
February 8, 2012 - May 12, 2016
RIDGEWAY & CONGER, INC.
July 12, 2007 - February 3, 2012
PACIFIC WEST SECURITIES, INC.
May 17, 1993 - July 13, 2007
BROOKSTREET SECURITIES CORPORATION
April 12, 1988 - January 20, 1989
OPPENHEIMER & CO. INC.
April 1, 1988 - April 12, 1988
FAHNESTOCK INTERNATIONAL INC.
February 5, 1987 - January 12, 1988
AGENCY FINANCIAL SERVICES, INC.
August 1, 1986 - April 1, 1988
OPPENHEIMER & CO. INC.
February 11, 1982 - November 29, 1993
CHURCHILL SECURITIES, INC.
September 16, 1977 - July 10, 1981
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
June 29, 1971 - February 27, 1976
BACHE & CO., INCORPORATED
March 10, 1971 - August 2, 1971
VERAVEST INVESTMENTS, INC.
March 10, 1971 - August 2, 1971
AMERICAN VAR ANNUITY LIFE ASRU CO
April 19, 1968 - January 22, 1971
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
IBN FINANCIAL SERVICES, INC.
CRD#: 42360 / SEC#: 801-111848, 8-49815
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: 4/17/1968
Registered Representative ExaminationCurrent Firm
IBN FINANCIAL SERVICES, INC.
CRD#: 42360 / SEC#: 801-111848, 8-49815
Contact information
SEC notice filing (18 States and Territories)
FINRA licenses (50 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 768 |
| AUM (Assets Under Management) | $ 180,458,175 |
Disclosures
| Regulatory Event | 9 |
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.
