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RB

Rose E. Beatty

CAPITOLIS GLOBAL BROKER DEALER LLC
NEW YORK, NY 10036
Some features on this profile are disabled
CRD#: 7565936
RB

Professional summary

Rose Emily Beatty, who also goes by Beatty Emily Rose, is a registered financial professional currently at CAPITOLIS GLOBAL BROKER DEALER LLC located in New York, New York.

Rose is registered as a RR (Registered Representative) and started their career in finance in 2022. Rose has worked at 2 firms and has passed the Series 63, Series 7TO, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Beatty Emily Rose

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 Rose Emily Beatty'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

March 13, 2025 - Present

CAPITOLIS GLOBAL BROKER DEALER LLC

Office #1: 11 W. 42nd Street 15th Floor, New York, NY, 10036Office #2: 11 W. 42nd Street, 15th Floor, New York, NY 10036
BD
CRD#: 325346
NEW YORK, NY
Past

December 21, 2022 - June 26, 2023

MUFG SECURITIES AMERICAS INC.

BD
CRD#: 19685
NEW YORK, NY

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
New York
(3/13/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 11/8/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 12/21/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/9/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CG
CAPITOLIS GLOBAL BROKER DEALER LLC
CAPITOLIS GLOBAL BROKER DEALER LLC

CRD#: 325346 / SEC#: , 8-71056

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

Main Address
11 W. 42nd Street 15th Floor, New York, NY, 10036
Mailing Address
11 W. 42nd Street 15th Floor, New York, NY, 10036
Phone number
(212) 388-5201
Established
Delaware since 02/01/2023
Firm type
Limited Liability Company
Fiscal year end
January
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ESL FUNDING LLCGENERAL MEMBER
BAPTISTE, LINDSEY KATHLEENCHIEF FINANCIAL OFFICER, FINOP AND MANAGER5714590
BORER, JON ACHIEF COMPLIANCE OFFICER6374938
DROUMENQ, THOMASCHIEF EXECUTIVE OFFICER4871722
WEXLER, STUART JOELGENERAL COUNSEL
WILSON, CHARLENE FAITHFINOP1935747

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

CAPITOLIS GLOBAL BROKER DEALER LLC

CRD#: 325346New York, NY 10036

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