James A. Rossi
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Andrew Rossi, who also goes by James A Rossi, Andrew Rossi, Drew Rossi, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2018. James had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2019 - August 6, 2020
SAN BLAS SECURITIES LLC
November 16, 2018 - September 21, 2019
IFS SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
SAN BLAS SECURITIES LLC
CRD#: 290605 / SEC#: , 8-70036
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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