Brian A. Rosen

SOUTHEAST INVESTMENTS, N.C.

Charlotte, NC 28217

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CRD#: 6128645

Professional summary

Brian Alan Rosen, who also goes by Brian Rosen, is a registered financial professional currently at SOUTHEAST INVESTMENTS, N.C., INC. located in Charlotte, North Carolina.

Brian is registered as a RR (Registered Representative) and started their career in finance in 2012. Brian has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brian Rosen

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Alan Rosen's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 18, 2018 - Present

SOUTHEAST INVESTMENTS, N.C., INC.

Office #1: 820 Tyvola Road, Suite 104, Charlotte, NC 28217

RIA

CRD#: 43035

Charlotte, NC

Past

March 25, 2017 - July 13, 2018

MML INVESTORS SERVICES, LLC

CRD#: 10409

COLCHESTER, VT

Past

January 2, 2015 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

COLCHESTER, VT

Past

December 6, 2012 - January 2, 2015

NEW ENGLAND SECURITIES

CRD#: 615

COLCHESTER, VT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(11/27/2018)

Vermont
(8/2/2018)

Exams

State Security Law Exam

Series 63

Date: 5/19/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/5/2012

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

SOUTHEAST INVESTMENTS, N.C., INC.

SOUTHEAST INVESTMENTS N.A., INC. | SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035 / SEC#: , 8-50127

Florida

Registered Investment Advisory firm - SEC (11/7/2019 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (3/31/2016 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (1/6/2012 Approved)

Texas

Registered Investment Advisory firm - SEC (12/16/2015 Terminated)

Virginia

Registered Investment Advisory firm - SEC (12/21/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

820 Tyvola Road-suite 104 Suite 104, Charlotte, NC 28217-3528

Mailing Address

820 Tyvola Road-suite 104, Charlotte, NC 28217

Phone number

(704) 527-7873

Established

North Carolina since 12/06/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
BLACK, JONATHAN HARRISON	PRESIDENT/CEO/CCO/FINOP	4975641
PLEXICO, RONALD DAVID JR	PRINCIPAL	2122340

Disclosures

Regulatory Event	3
Arbitration	3

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.

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Brian A. Rosen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Alan Rosen's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOUTHEAST INVESTMENTS, N.C., INC.

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

NEW ENGLAND SECURITIES

State Registrations and Notice Filings

Exams

Series 63

Date: 5/19/2014

SIE

Date: 10/1/2018

Series 6

Date: 12/5/2012

FINRA

Current Firm

SOUTHEAST INVESTMENTS, N.C., INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SOUTHEAST INVESTMENTS, N.C., INC.

TRUST BUT VERIFY

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