Jonathan J. 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.
Jonathan Jay Rosen was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 2010. Jonathan had worked at 2 firms and has passed the Series 63 and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2011 - December 1, 2011
MORGAN JOSEPH TRIARTISAN CAPITAL LLC
October 7, 2010 - April 1, 2014
MORGAN JOSEPH TRIARTISAN LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MORGAN JOSEPH TRIARTISAN CAPITAL LLC
CRD#: 122351 / SEC#: , 8-65485
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRI-ARTISAN CAPITAL PARTNERS, LLC | MEMBER | |
| BLECHER, STEVEN DONALD | CHIEF COMPLIANCE OFFICER | 1230668 |
| CROMACK, GERALD HENRY II | MANAGING DIRECTOR AND GENERAL SECURITIES PRINCIPAL | 2427149 |
| MANOCHA, ROHIT | MANAGING DIRECTOR AND GENERAL SECURITIES PRINCIPAL | 1583152 |
| TANG, JOKU | CHIEF FINANCIAL OFFICER; FINOP | 2199818 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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