Louis A. Rosen
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.
Louis Aaron Rosen, who also goes by Louis A Rosen, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1977. Louis had worked at 11 firms and has passed the Series 63, Series 7 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 1993 - December 21, 2001
GARDEN STATE SECURITIES, INC.
October 30, 1992 - April 20, 1993
OSAIC WEALTH, INC.
February 24, 1988 - September 16, 1992
WORLD INVESTMENTS, LLC
December 23, 1987 - February 11, 1988
RUSSO SECURITIES INC.
August 25, 1983 - August 6, 1985
KOBRIN SECURITIES, INC.
May 16, 1983 - August 23, 1983
GARDEN STATE SECURITIES, INC.
May 6, 1982 - April 27, 1983
UNDERHILL ASSOCIATES, INCORPORATED
February 8, 1980 - May 10, 1982
ROSS, STEBBINS INC.
December 7, 1979 - July 19, 1980
BOWLING GREEN SECURITIES, INC.
September 26, 1978 - November 12, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 12, 1977 - January 7, 1978
KUHNS BROTHERS & LAIDLAW, INC.
June 1, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
Current Firm
GARDEN STATE SECURITIES, INC.
CRD#: 10083 / SEC#: , 8-25790
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMBROSINO, RAYMOND EDWARD | DIRECTOR/SHAREHOLDER | 2070784 |
| DEROSA, KEVIN JOHN | DIRECTOR/SHAREHOLDER | 2314895 |
| PERROTTO, LOUIS LUCKY JR | DIRECTOR/SHAREHOLDER/CHIEF EXECUTIVE OFFICER | 3053498 |
| SARI, SCOTT HENRY | DIRECTOR/SHAREHOLDER | 2226426 |
| MALONE, PATRICK ANTHONY | CHIEF SUPERVISORY OFFICER | 2143703 |
| MCMULLIN, ROBERT | CHIEF FINANCIAL OFFICER | 1540045 |
| TRIGILI, STEVEN DAVID | CHIEF COMPLIANCE OFFICER | 2232496 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 3 |
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.
