Sean M. Rosen
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.
Sean Michael Rosen was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 2005. Sean had worked at 9 firms and has passed the 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
January 15, 2015 - November 5, 2015
NETWORK 1 FINANCIAL SECURITIES INC.
October 3, 2014 - October 27, 2014
BLACKBOOK CAPITAL, LLC
April 19, 2010 - October 3, 2012
ROCKWELL GLOBAL CAPITAL LLC
February 8, 2010 - May 10, 2010
QA3 FINANCIAL CORP.
September 12, 2008 - February 12, 2010
J.D. NICHOLAS & ASSOCIATES, INC.
August 10, 2006 - October 9, 2008
FIRST MIDWEST SECURITIES, INC.
December 20, 2005 - July 20, 2006
BROOKVILLE CAPITAL PARTNERS
September 7, 2005 - November 9, 2005
J.P. TURNER & COMPANY, L.L.C.
July 15, 2005 - August 16, 2005
AMERICAN CAPITAL PARTNERS, LLC
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
Current Firm
NETWORK 1 FINANCIAL SECURITIES INC.
CRD#: 13577 / SEC#: , 8-29471
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 21 |
| Arbitration | 4 |
Red Flags
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