Theodore 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.
Theodore Rosen, who also goes by Ted Rosen, was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 1971. Theodore had worked at 16 firms and has passed the Series 63, SIE, Series 41, Series 000, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2003 - April 2, 2015
MARATHON CAPITAL MARKETS, LLC
November 16, 1993 - August 4, 2009
BURNHAM SECURITIES INC.
January 31, 1992 - November 24, 1993
CIBC WORLD MARKETS CORP.
August 8, 1989 - February 3, 1992
CITIGROUP GLOBAL MARKETS INC.
October 28, 1987 - September 19, 1989
SUMMIT CAPITAL GROUP,LTD.
October 1, 1986 - October 14, 1987
BMMG CAPITAL CORP.
November 5, 1984 - October 8, 1986
D. H. BLAIR & CO., INC.
February 11, 1982 - November 1, 1984
ROONEY, PACE INC.
February 27, 1980 - January 31, 1982
MORGAN STANLEY & CO. LLC
November 9, 1977 - February 27, 1980
MORGAN STANLEY & CO., INCORPORATED
October 18, 1976 - December 10, 1977
J.P. MORGAN SECURITIES LLC
August 19, 1974 - September 12, 1976
REYNOLDS SECURITIES, INC.
March 4, 1974 - September 9, 1974
L. F. ROTHSCHILD & CO. INCORPORATED
August 16, 1973 - April 28, 1974
AMCAP SECURITIES CORPORATION
November 2, 1972 - November 23, 1973
LADENBURG THALMANN & CO. INC.
October 14, 1971 - June 26, 1975
BUTLER CAPITAL CORP
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 41
Date: 12/22/1960
NYSE Allied Member ExaminationSeries 000
Date: 12/3/1949
General Securities Principal ExaminationSeries 12
Date: 2/19/1982
NYSE Branch Manager ExaminationCurrent Firm
MARATHON CAPITAL MARKETS, LLC
CRD#: 103767 / SEC#: , 8-52256
Contact information
FINRA licenses (35 States and Territories)
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.
