Kevin Rosa
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.
Kevin Rosa was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2005. Kevin had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2022 - September 6, 2022
CHELSEA FINANCIAL SERVICES
July 12, 2019 - February 14, 2020
CHELSEA FINANCIAL SERVICES
April 2, 2019 - July 15, 2019
FIRST STANDARD FINANCIAL COMPANY LLC
March 31, 2014 - April 10, 2018
CHELSEA FINANCIAL SERVICES
April 8, 2013 - June 18, 2013
JOHN THOMAS FINANCIAL
November 16, 2012 - March 20, 2013
ROCKWELL GLOBAL CAPITAL LLC
March 23, 2012 - December 7, 2012
OBSIDIAN FINANCIAL GROUP, LLC
June 18, 2010 - August 2, 2010
JOHN THOMAS FINANCIAL
April 7, 2009 - March 4, 2010
NATIONAL SECURITIES CORPORATION
August 31, 2005 - March 30, 2009
CHELSEA FINANCIAL SERVICES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CHELSEA FINANCIAL SERVICES
CRD#: 47770 / SEC#: , 8-51916
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 4 |
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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