Arnold I. Roseman
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.
Arnold Ira Roseman was a registered financial professional .
Arnold is a previously registered financial professional and started their career in finance in 1976. Arnold had worked at 16 firms and has passed the Series 63, Series 53, Series 40 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2007 - August 6, 2007
CAPITAL GROWTH FINANCIAL, LLC
July 3, 2006 - December 13, 2006
ALTERNA CAPITAL CORP.
November 2, 2004 - November 23, 2005
SUMMIT BROKERAGE SERVICES, INC.
August 5, 2004 - October 28, 2004
HUNTER SCOTT FINANCIAL LLC.
August 2, 2002 - August 3, 2004
CARDINAL CAPITAL MANAGEMENT, INC.
March 21, 2000 - December 20, 2001
SSI SECURITIES CORP.
April 21, 1999 - March 10, 2000
FIRST COLONIAL SECURITIES
February 2, 1994 - October 30, 1998
BILTMORE SECURITIES, INC.
June 16, 1993 - February 17, 1994
A. F. BEST SECURITIES, INC.
February 4, 1989 - June 23, 1993
FIRST INSTITUTIONAL SECURITIES, L.L.C.
February 1, 1989 - March 25, 1992
BROADWAY FINANCIAL INVESTMENT SERVICES CORP.
July 21, 1984 - December 26, 1986
LISS TENNER & GOLDBERG SECURITIES CORPORATION
July 21, 1984 - February 1, 1989
GLICKENHAUS & CO. - NEW JERSEY
February 22, 1983 - December 27, 1983
MOORE & SCHLEY, CAMERON & CO.
October 27, 1982 - December 27, 1983
GMS GROUP
October 20, 1976 - August 17, 1982
J. B. HANAUER & CO.
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 40
Date: 9/24/1978
Registered Principal ExaminationF04
Date: 6/12/1977
Financial Principal ExaminationCurrent Firm
CAPITAL GROWTH FINANCIAL, LLC
CRD#: 41040 / SEC#: , 8-49268
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 8 |
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.
