Noah E. Rosen
Professional summary
Noah Ellis Rosen, who also goes by Noah Rosen, is a registered financial professional currently at DFA SECURITIES LLC located in Charlotte, North Carolina.
Noah is registered as a RR (Registered Representative) and started their career in finance in 2010. Noah has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Noah Ellis Rosen's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 10, 2023 - Present
DFA SECURITIES LLC
Office #1: 1515 South Tryon Street, Charlotte, NC 28203February 2, 2022 - October 5, 2022
COREBRIDGE CAPITAL SERVICES, INC.
April 12, 2019 - March 23, 2020
MISSIONSQUARE RETIREMENT
April 4, 2019 - March 23, 2020
MISSIONSQUARE INVESTMENT SERVICES
October 11, 2016 - February 25, 2019
GUGGENHEIM INVESTMENTS
October 11, 2016 - February 25, 2019
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
November 10, 2011 - September 22, 2016
VIRTUS INVESTMENT ADVISERS, LLC
November 10, 2011 - September 22, 2016
VP DISTRIBUTORS LLC
May 18, 2011 - October 12, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 18, 2011 - October 12, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 8, 2010 - May 26, 2011
MORGAN STANLEY
August 17, 2010 - May 26, 2011
MORGAN STANLEY
January 18, 2010 - August 31, 2010
WASHINGTON SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/11/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
(2/10/2023)
Exams
FINRA
Current Firm
DFA SECURITIES LLC
CRD#: 10292 / SEC#: , 8-27006
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIMENSIONAL FUND ADVISORS LP | DELAWARE LP AND SOLE MEMBER OF DFAS | |
| BOOTH, DAVID GILBERT | CHAIRMAN | 1031000 |
| BUTLER, DAVID PAUL | CO-CHIEF EXECUTIVE OFFICER | 2305298 |
| DALLMER, LISA MICHELE | CHIEF OPERATING OFFICER | 2586913 |
| GRZELAK, BERNARD JAMES | CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL, AND PRINCIPAL OPERATING OFFICER | 4285750 |
| NEWELL, CATHERINE LEE | VICE PRESIDENT AND SECRETARY | 2890628 |
| NOTELOVITZ, SELWYN JUSTIN | GLOBAL CHIEF COMPLIANCE OFFICER | 2886676 |
| O'REILLY, GERARD KIERAN | CO-CHIEF EXECUTIVE OFFICER AND CO-CIO | 4982644 |
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.
