Mark L. 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.
Mark Lawrence Rosen, who also goes by Mark Lawrence Rosen, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1979. Mark had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 1999 - October 31, 2024
RNR SECURITIES, L.L.C.
June 16, 1998 - July 23, 1999
PRIME CAPITAL SERVICES, INC.
November 12, 1990 - June 15, 1998
INSTITUTIONAL EQUITY CORPORATION
January 31, 1987 - August 9, 1996
PERSONAL ASSET MANAGEMENT LTD.
December 11, 1984 - July 12, 1989
GLOBAL CAPITAL SECURITIES, INC.
July 27, 1979 - December 24, 1984
DAVID LERNER ASSOCIATES, 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
RNR SECURITIES, L.L.C.
CRD#: 43689 / SEC#: , 8-50366
Contact information
FINRA licenses (42 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
