Ethan Rosen
Professional summary
Ethan Rosen, who also goes by Rosen, is a registered financial professional currently at FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.
Ethan is registered as a RR (Registered Representative) and started their career in finance in 2015. Ethan has worked at 6 firms and has passed the Series 66, Series 79TO, Series 22TO, Series 6TO, Series 82TO, Series 99TO, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ethan Rosen's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 23, 2025 - Present
FIRST TRUST PORTFOLIOS L.P.
Office #1: 120 E. Liberty Drive Suite 400, Wheaton, IL 60187July 25, 2023 - May 22, 2025
WELLS FARGO SECURITIES, LLC
August 19, 2019 - August 2, 2021
BOFA SECURITIES, INC.
February 13, 2018 - June 12, 2019
INTERACTIVE BROKERS LLC
December 24, 2015 - January 22, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 1, 2015 - January 22, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 17, 2015 - December 2, 2015
UHLMANN PRICE SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/23/2025)
Exams
Series 79TO
Date: 8/21/2023
Investment Banking Registered Representative ExaminationSeries 22TO
Date: 7/25/2023
Direct Participation Programs Representative ExaminationSeries 6TO
Date: 7/25/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 82TO
Date: 7/25/2023
Limited Representative-Private Securities OfferingsSeries 99TO
Date: 7/25/2023
Operations Professional ExaminationFINRA
Current Firm
FIRST TRUST PORTFOLIOS L.P.
CRD#: 28519 / SEC#: , 8-43843
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRACE PARTNERS OF DUPAGE L.P. | LIMITED PARTNER | |
| BOWEN, JAMES ALLEN | CHIEF EXECUTIVE OFFICER | 1123316 |
| BOWEN, MARISA ANN | MANAGING DIRECTOR | 1949032 |
| DYKAS, JAMES MARTIN | CHIEF FINANCIAL OFFICER / MANAGING DIRECTOR | 2264809 |
| JACKSON, ERIK SOREN | CHIEF COMPLIANCE OFFICER | 2950559 |
| JARDINE, WILLIAM SCOTT | GENERAL COUNSEL | 2609233 |
| MCGAREL, DAVID GERARD | MANAGING DIRECTOR | 2945880 |
| MCGAREL, DAVID GERARD | CHIEF OPERATING OFFICER | 2945880 |
| ROGGENSACK, ANDREW SCOTT | PRESIDENT | 1582059 |
| THE CHARGER CORPORATION | GENERAL PARTNER |
Disclosures
| Regulatory Event | 4 |
Red Flags
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