Ethan Rosen
Professional Summary
Ethan Rosen, who also goes by Rosen, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Rosen
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
12 years in the financial services industry
Current & Past Employments
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Current Firm
FIRST TRUST PORTFOLIOS L.P. | NIKE SECURITIES L.P.
Contact Information
Main Address
120 E. Liberty Drive Suite 400, Wheaton, IL 60187Mailing Address
120 E. Liberty Drive Suite 400, Wheaton, IL 60187Phone Number
(630) 765-8000Established
Illinois since 05/10/1991Firm Type
PartnershipFiscal Year End
DecemberFirm Size
LargeFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US 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
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(5/23/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Aug 2023About the Series 79TO examSeries 22TO — Direct Participation Programs Representative Examination
Passed Jul 2023About the Series 22TO examSeries 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 2023About the Series 6TO examSeries 82TO — Limited Representative-Private Securities Offerings
Passed Jul 2023About the Series 82TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Ethan Rosen's CRS (Customer Relationship Summary).
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