Michael Rozenbaum
Professional summary
Michael Rozenbaum was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial advisor and started their career in finance in 2007. Prior to being barred, Michael had worked at 2 firms, which includes GUNNALLEN FINANCIAL INC, EDWARD JONES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2009 - October 2, 2009
GUNNALLEN FINANCIAL, INC
February 13, 2009 - October 2, 2009
GUNNALLEN FINANCIAL, INC
September 10, 2007 - January 20, 2009
EDWARD JONES
August 9, 2007 - January 20, 2009
EDWARD JONES
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
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
