Mark A. Rosenwinkel
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.
Mark Alan Rosenwinkel, who also goes by Mark A Rosenwinkel, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2006. Mark had worked at 3 firms and has passed the Series 66, Series 55 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
March 19, 2013 - October 29, 2013
DRW EXECUTION SERVICES, LLC
November 12, 2012 - November 14, 2012
DRW SECURITIES, L.L.C.
October 2, 2006 - April 30, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 22, 2006 - April 30, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Series 55
Date: 7/18/2013
Limited Representative-Equity Trader ExamCurrent Firm
DRW EXECUTION SERVICES, LLC
CRD#: 164486 / SEC#: , 8-69104
Contact information
Documents
Red Flags
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