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MR

Marvin R. Rosado

Some features on this profile are disabled
CRD#: 7036929
MR

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.

Marvin Rafael Rosado, who also goes by Marvin R Rosado, was a registered financial professional .

Marvin is a previously registered financial professional and started their career in finance in 2022. Marvin had worked at 2 firms and has passed the Series 6TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Marvin R Rosado

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 16, 2023 - October 21, 2025

VIENNA CAPITAL PARTNERS LLC

BD
CRD#: 311852
NEW YORK, NY
Past

November 2, 2022 - August 29, 2023

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 6TO
Date: 11/1/2022
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/1/2021
Securities Industry Essentials Examination

Current Firm

VC
VIENNA CAPITAL PARTNERS LLC
VIENNA CAPITAL PARTNERS LLC

CRD#: 311852 / SEC#: , 8-70631

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

Main Address
40 Wall Street 17th Fl, New York, NY 10005
Mailing Address
40 Wall Street 17th Fl, New York, NY 10005
Phone number
(856) 319-2784
Established
Delaware since 11/06/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (19 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TOMASA ANTONIA HOLDINGS LLCDIRECT OWNER
DEFILIPPO, VINCENT JAMESCCO2792048
KAPPOTIS, ERNEST DOMENICFINOP

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

VIENNA CAPITAL PARTNERS LLC

CRD#: 311852

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