Gaston H. Rozenwald
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.
Gaston H Rozenwald, who also goes by Gaston Henri Rozenwald, was a registered financial professional .
Gaston is a previously registered financial professional and started their career in finance in 1969. Gaston had worked at 4 firms and has passed the Series 15, Series 5, PC, Series 000, Series 1, Series 27, Series 4, Series 40 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 6, 1988 - June 24, 2005
J.P.P. EURO-SECURITIES, INC.
September 26, 1978 - January 1, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 2, 1969 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
August 26, 1969 - March 31, 1988
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 15
Date: 12/7/1983
Foreign Currency Options ExaminationSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationPC
Date: 5/25/1978
AMEX Put and Call ExamSeries 000
Date: 8/26/1969
General Securities Principal ExaminationSeries 1
Date: 8/26/1969
Registered Representative ExaminationSeries 40
Date: 4/27/1978
Registered Principal ExaminationSeries 12
Date: 4/25/1978
NYSE Branch Manager ExaminationCurrent Firm
J.P.P. EURO-SECURITIES, INC.
CRD#: 18509 / SEC#: , 8-36803
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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