Drew Alexander Rossi, who also goes by Drew Alexander Rossi, Drew Rossi, is a registered financial professional at OPPENHEIMER & CO. INC. located in Baltimore, Maryland.
Drew is registered as a RR (Registered Representative) and started their career in finance in 2018. Drew has worked at 3 firms and has passed the Series 63, Series 82TO, SIE and Series 79 exams.
Before working with a financial advisor, it is imperative to see whether or not they have any disclosures and if they do, whether or not you are comfortable with the disclosures that are on their record.
Disclosures in the financial services industry fall under the following categories: criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments.
Please watch the video below to get a better understanding of what disclosures are and what they look like, then click the button underneath that to get immediate access to see whether or not this financial advisor has any disclosures.
STATE SECURITY LAW EXAM ()
GENERAL INDUSTRY/PRODUCTS EXAM ()
PRINCIPAL/SUPERVISORY EXAM ()
STATE REGISTRATIONS (2)
New York (12/16/2022)
SRO REGISTRATIONS (1)
Some financial advisors may work at more than one firm. Click the employer below (current or previous) to view their data
OPPENHEIMER & CO. INC. (#249)
100 International Drive Suite 19200, Baltimore, MD, 21202
12/16/2022 - Current
PREVIOUS EMPLOYERS (2)
B. RILEY SECURITIES, INC. (#25027)
10/26/2020 - 11/30/2022
CARTER CAPITAL CORPORATION (#23521)
10/30/2018 - 10/21/2020
Drew Alexander Rossi
Experience: 5 years / 3 firms
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Disclosures range from criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments. Access disclosures with a free AdvisorCheck membership.
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