Robert P. Rosso
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.
Robert Patrick Rosso, who also goes by Robert P Rosso, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1980. Robert had worked at 9 firms and has passed the Series 57TO, SIE, Series 55 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
August 8, 2011 - June 2, 2022
PUMA CAPITAL, LLC
July 11, 2011 - August 3, 2011
W.A. CAPITAL MARKETS
September 9, 2002 - June 30, 2011
DOMESTIC SECURITIES, INC.
June 12, 2001 - May 28, 2002
DONALD & CO. SECURITIES INC.
July 5, 2000 - May 2, 2001
DEUTSCHE IXE, LLC
June 10, 1999 - May 10, 2000
SHARPE CAPITAL, INC.
July 7, 1995 - March 31, 1999
HILL THOMPSON MAGID & CO., INC.
April 12, 1990 - May 19, 1995
NASH, WEISS & CO.
June 16, 1989 - April 23, 1990
DEUTSCHE IXE, LLC
November 20, 1984 - June 18, 1985
ENGLANDER CAPITAL CORP.
July 22, 1980 - October 19, 1984
DEUTSCHE IXE, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 2/3/1999
Limited Representative-Equity Trader ExamCurrent Firm
PUMA CAPITAL, LLC
CRD#: 146744 / SEC#: , 8-67849
Contact information
FINRA licenses (15 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
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.
