Benjamin T. Rose
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.
Benjamin Theodore Rose was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 1979. Benjamin had worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 15 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2013 - December 1, 2015
TRACK DATA SECURITIES CORPORATION
October 6, 2010 - June 23, 2011
BISHOP, ROSEN & CO., INC.
November 5, 2004 - December 31, 2008
MML INVESTORS SERVICES, LLC
February 22, 1994 - September 22, 2004
BISHOP, ROSEN & CO., INC.
February 26, 1988 - February 11, 1994
HERZOG, HEINE, GEDULD, LLC
June 15, 1983 - February 18, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
December 3, 1979 - October 12, 1983
STRASBOURGER PEARSON TULCIN WOLFF INCORPORATED
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
Series 15
Date: 6/12/1984
Foreign Currency Options ExaminationCurrent Firm
TRACK DATA SECURITIES CORPORATION
CRD#: 103802 / SEC#: , 8-52290
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 20 |
| Arbitration | 3 |
Red Flags
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