Leonard J. Rosh
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.
Leonard Jay Rosh was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1967. Leonard had worked at 10 firms and has passed the Series 65, Series 63, Series 31, Series 5, Series 000, Series 1, Series 24, Series 4 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
October 23, 2009 - June 10, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - June 10, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 20, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 17, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 25, 2000 - March 29, 2006
UBS FINANCIAL SERVICES INC.
August 25, 2000 - March 29, 2006
UBS FINANCIAL SERVICES INC.
December 20, 1990 - August 29, 2000
SSI SECURITIES CORP.
April 27, 1984 - January 14, 1991
LEHMAN BROTHERS INC.
January 17, 1978 - July 25, 1979
E. F. HUTTON & COMPANY INC
October 31, 1973 - January 12, 1978
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
January 27, 1972 - December 3, 1973
HAYDEN STONE INC.
November 5, 1970 - February 11, 1972
DUPONT WALSTON, INCORPORATED
January 1, 1967 - May 29, 1984
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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 5
Date: 10/23/1981
Interest Rate Options ExaminationSeries 000
Date: 1/1/1967
General Securities Principal ExaminationSeries 1
Date: 12/5/1966
Registered Representative ExaminationSeries 12
Date: 12/20/1980
NYSE Branch Manager ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
