Nicholas D. Rosner
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.
Nicholas Dee Rosner Jr, who also goes by Nicholas Dee Rosner Jr, Nicholas Dee Rosner, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2011. Nicholas had worked at 3 firms and has passed the Series 66, SIE 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
December 20, 2016 - March 18, 2022
REGISTER FINANCIAL ADVISORS, LLC
December 19, 2016 - March 18, 2022
REGISTER FINANCIAL ASSOCIATES, INC.
May 24, 2011 - December 15, 2016
EDWARD JONES
March 2, 2011 - December 15, 2016
EDWARD JONES
Primary Firm SEC Registration
REGISTER FINANCIAL ADVISORS, LLC
CRD#: 143884 / SEC#: 801-81190
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
REGISTER FINANCIAL ADVISORS, LLC
CRD#: 143884 / SEC#: 801-81190
Contact information
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 835 |
| AUM (Assets Under Management) | $ 396,907,109 |
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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