Clifford I. Rosner
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.
Clifford Ira Rosner, who also goes by Cliff Rosner, was a registered financial professional .
Clifford is a previously registered financial professional and started their career in finance in 1969. Clifford had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 5, PC, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2009 - July 15, 2016
VOYA FINANCIAL ADVISORS, INC.
February 3, 2009 - July 15, 2016
VOYA FINANCIAL ADVISORS, INC.
September 11, 2006 - February 11, 2009
MML INVESTORS SERVICES, LLC
September 11, 2006 - February 11, 2009
MML INVESTORS SERVICES, LLC
July 3, 2006 - September 7, 2006
OBSIDIAN FINANCIAL GROUP, LLC
May 16, 2005 - July 12, 2006
AMERIFINANCIAL
February 6, 2004 - May 12, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 14, 2004 - May 12, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 30, 2003 - January 9, 2004
LPL FINANCIAL LLC
May 30, 2003 - January 9, 2004
LPL FINANCIAL LLC
May 25, 2000 - June 5, 2003
WELLS FARGO CLEARING SERVICES, LLC
May 25, 2000 - June 5, 2003
WELLS FARGO CLEARING SERVICES, LLC
November 14, 1996 - May 10, 2000
MORGAN KEEGAN & COMPANY, LLC
September 19, 1991 - November 12, 1996
RAUSCHER PIERCE REFSNES, INC.
September 4, 1990 - September 16, 1991
WELLS FARGO CLEARING SERVICES, LLC
September 1, 1988 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
February 4, 1988 - September 1, 1988
BOETTCHER & COMPANY, INC.
July 1, 1977 - January 23, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
August 27, 1976 - September 27, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
May 1, 1973 - February 27, 1976
BACHE & CO., INCORPORATED
March 25, 1969 - May 9, 1973
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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: 12/6/1982
Interest Rate Options ExaminationPC
Date: 1/1/1978
AMEX Put and Call ExamSeries 000
Date: 3/21/1969
General Securities Principal ExaminationSeries 1
Date: 3/21/1969
Registered Representative ExaminationCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 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.
