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Oliver E. Rosen

ARDEA PARTNERS LP
New York, NY 10001
Some features on this profile are disabled
CRD#: 6826220
OR

Professional summary

Oliver Erik Rosen, who also goes by Oliver E Rosen, Oliver Rosen, is a registered financial professional currently at ARDEA PARTNERS LP located in New York, New York.

Oliver is registered as a RR (Registered Representative) and started their career in finance in 2017. Oliver has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Oliver E Rosen | Oliver 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 Oliver Erik Rosen's 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

November 1, 2019 - Present

ARDEA PARTNERS LP

Office #1: 10 Hudson Yards 40th Floor, New York, NY 10001
BD
CRD#: 283558
New York, NY
Past

August 14, 2017 - August 21, 2019

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
New York
(11/1/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 8/18/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/13/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/14/2017
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AP
ARDEA PARTNERS LP
ARDEA PARTNERS LLC | ARDEA PARTNERS LP

CRD#: 283558 / SEC#: , 8-69761

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
32 Nassau Street Suite 300, Princeton, NJ 08542
Mailing Address
10 Hudson Yards 40th Floor, New York, NY 10001
Phone number
(212) 430-2300
Established
Delaware since 02/17/2016
Firm type
Other Types of Legal Formation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ARDEA HOLDINGS LPSHAREHOLDER
COLE, CHRISTOPHER ALFREDPARTNER, CHAIRMAN1721589
DEL FAVERO, JAMESPARTNER1750524
LIPSTEIN, KEVIN SCOTTFINOP/CFO5880781
ROSS, IVANPARTNER, CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER2631534
TRUESDALE, DONALD JAMESPARTNER, CHIEF EXECUTIVE OFFICER2172140

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.

Company Information

ARDEA PARTNERS LP

CRD#: 283558New York, NY 10001

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