Robert Stephen Rosen
Professional Summary
Robert Stephen Rosen was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1970 - 2023. Robert had worked at 3 firms and has passed the Series 63, Series 99TO, Series 7TO, Series 52TO, SIE, PC, Series 1, Series 24 and Series 40 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
No current employment
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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.
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.
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Years of Experience
57 years in the financial services industry
Current & Past Employments
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Current Firm
EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC
Contact Information
Main Address
101 Crawfords Corner Road Suite 3128, Holmdel, NJ 07733-2151Phone Number
(212) 417-8247# of Employees
12SEC notice filing (29 States and Territories)
Registered to provide investment advisory services in 29 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
983AUM (Assets Under Management)
$706,000,000Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC
State Registrations and Notice Filings
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examPC — AMEX Put and Call Exam
Passed Apr 1984Series 1 — Registered Representative Examination
Passed Dec 1968Series 40 — Registered Principal Examination
Passed May 1970Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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