AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SR

Stephen E. Rossi

PALM TREE SECURITIES LLC
Los Angeles, CA 90025
Some features on this profile are disabled
CRD#: 7208439
SR

Professional summary

Stephen E. Rossi is a registered financial professional currently at PALM TREE SECURITIES LLC located in Los Angeles, California.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2019. Stephen has worked at 2 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Stephen E. Rossi'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 6, 2020 - Present

PALM TREE SECURITIES LLC

Office #1: 11755 Wilshire Blvd Ste 2300, Los Angeles, CA 90025
BD
CRD#: 307831
Los Angeles, CA
Past

December 16, 2019 - November 6, 2020

ASHLAND SECURITIES, LLC

BD
CRD#: 297523
MIAMI, FL

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
California
(11/10/2020)
RR
Illinois
(3/26/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 9/4/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/4/2020
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 12/16/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/16/2019
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/4/2020
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PT
PALM TREE SECURITIES LLC
PALM TREE SECURITIES LLC

CRD#: 307831 / SEC#: , 8-70505

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
11755 Wilshire Blvd Ste 2300, Los Angeles, CA 90025
Mailing Address
11755 Wilshire Blvd Ste 2300, Los Angeles, CA 90025
Phone number
(424) 220-6800
Established
Delaware since 02/03/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
PALM TREE ADVISORS LLCMEMBER
HELLING, BLAKE CHRISTOPHERFINOP5844490
NASSERI, PARDISCHIEF EXECUTIVE OFFICER5425471
RAND, PAIGE WOODSUMCCO4520907

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

PALM TREE SECURITIES LLC

CRD#: 307831Los Angeles, CA 90025

TRUST BUT VERIFY

Monitor Stephen Rossi

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Danielle Purcell Barrios
Danielle BarriosAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
Beverly Hills, CA
Jon Derek Neuhaus
Jon NeuhausAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
El Segundo, CA
John Tanner Powell
John PowellAdvisorCheck Check Mark
EQUITABLE ADVISORS, LLC
IAR
RR
Los Angeles, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics