Eliot 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.
Eliot Rosner was a registered financial professional .
Eliot is a previously registered financial professional and started their career in finance in 1974. Eliot had worked at 14 firms and has passed the Series 63, Series 7, Series 3 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
May 26, 1999 - May 15, 2000
NAVILLUS SECURITIES, INC.
February 28, 1992 - April 8, 1998
HIGHLANDER CAPITAL GROUP, INC.
August 30, 1989 - October 4, 1989
WELLSHIRE SECURITIES, INC.
November 11, 1988 - August 9, 1989
D. H. BLAIR & CO., INC.
April 12, 1988 - October 1, 1988
OPPENHEIMER & CO. INC.
April 1, 1988 - April 12, 1988
FAHNESTOCK INTERNATIONAL INC.
January 29, 1988 - April 1, 1988
OPPENHEIMER & CO. INC.
February 2, 1987 - January 29, 1988
KUHNS BROTHERS & LAIDLAW, INC.
October 1, 1986 - December 12, 1986
BEURET & COMPANY, LTD.
March 20, 1984 - October 15, 1986
UBS FINANCIAL SERVICES INC.
March 16, 1982 - February 23, 1984
LEHMAN BROTHERS INC.
June 12, 1979 - March 28, 1982
L. F. ROTHSCHILD & CO. INCORPORATED
February 22, 1978 - July 12, 1979
LEHMAN BROTHERS KUHN LOEB INCORPORATED
June 4, 1976 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
August 28, 1974 - July 3, 1976
REYNOLDS SECURITIES, INC.
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: 8/22/1974
Registered Representative ExaminationCurrent Firm
NAVILLUS SECURITIES, INC.
CRD#: 31230 / SEC#: , 8-45424
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SULLIVAN, WILLIAM JOSEPH | CHAIRMAN/CEO/CFO/DIRECTOR | 2312200 |
| NEXTRADE HOLDINGS | SHAREHOLDER | |
| BOURDOW, ANTHONY WILLIAM | FINANCIAL/OPERATIONS PRINCIPAL | 1322617 |
| COX, DEWITT CLINTON III | SHAREHOLDER | 3040461 |
| SHERIDAN, JOSEPH BARTON SR | SECRETARY/VICE PRESIDENT/DIRECTOR | 2352613 |
| STEFF, TIMOTHY MARTIN | VICE PRESIDENT | 2349086 |
| SULLIVAN, DANIEL FRANCIS | PRESIDENT/DIRECTOR | 2312207 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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