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GR

Gregory M. Rosen

EAST WIND SECURITIES
New York, NY 10019
Some features on this profile are disabled
CRD#: 8047917
GR

Professional summary

Gregory Matthew Rosen is a registered financial professional currently at EAST WIND SECURITIES, LLC located in New York, New York.

Gregory is registered as a RR (Registered Representative) and started their career in finance in 2025. Gregory has worked at 1 firm and has passed the Series 63, Series 79TO and SIE 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 Gregory Matthew Rosen's CRS (Customer Relationship Summary).
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

May 6, 2025 - Present

EAST WIND SECURITIES, LLC

Office #1: 810 Seventh Avenue 35th Floor, New York, NY 10019
BD
CRD#: 148032
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
(6/10/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 6/10/2025
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 5/6/2025
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/25/2025
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

EW
EAST WIND SECURITIES, LLC
EAST WIND SECURITIES, LLC

CRD#: 148032 / SEC#: , 8-67955

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

Main Address
810 Seventh Avenue 35th Floor, New York, NY 10019
Mailing Address
810 Seventh Avenue 35th Floor, New York, NY 10019
Phone number
(646) 202-1500
Established
New York since 04/08/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (12 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#
EAST WIND HOLDINGS, LLCSHAREHOLDER
ROTHSCHILD, PETER HOWARDGENERAL SECURITIES PRINCIPAL1291471
SCHWARTZ, JOSHUA NATHANIELCEO, MANAGING PARTNER, CCO, EXEC. REP.2556740
SINGER, STEVEN FREDERICFINOPS, PFO & POO2360737

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

EAST WIND SECURITIES, LLC

CRD#: 148032New York, NY 10019

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