Max H. Rosen
Professional summary
Max Henkin Rosen, who also goes by Max Rosen, is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Minneapolis, Minnesota and SANFORD C. BERNSTEIN & CO., LLC located in Minneapolis, Minnesota.
Max is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Max has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Max Henkin Rosen's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 23, 2015 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 225 South Sixth Street Suite 1400, Minneapolis, MN 55402March 5, 2012 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 225 South Sixth Street Suite 2500, Minneapolis, MN 55402Primary Firm SEC Registration
ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/19/2016)
(2/19/2016)
(2/22/2016)
(8/27/2021)
(10/1/2024)
(2/19/2016)
(9/15/2022)
(12/16/2022)
(2/19/2016)
(2/22/2016)
(6/13/2025)
(4/5/2017)
(4/30/2012)
(12/23/2015)
(12/19/2023)
(8/23/2023)
(3/22/2021)
(2/19/2016)
(2/19/2016)
(5/7/2021)
(12/2/2020)
(5/15/2017)
(1/5/2017)
(10/10/2016)
(2/19/2016)
(2/22/2016)
(2/22/2016)
(6/27/2022)
(2/22/2016)
(1/27/2021)
(2/22/2016)
Exams
FINRA
Current Firm
ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 68,593 |
| AUM (Assets Under Management) | $ 709,162,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 10/27/2023 |
Red Flags
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