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Brian Alan Rosen

Southeast Investments, N.c., Inc.

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About Brian Alan Rosen

Brian Rosen is a registered representative with Southeast Investments, N.C., Inc., and is licensed to sell securities in New York and Vermont. Brian has been in the industry since December 2012 and has a series 6, Series 63, and SIE license. Brian is also a registered representative with MML Investors Services, LLC. Brian offers financial planning, selection of other advisers, portfolio management for businesses, and portfolio management for individuals.

Firm Information

Brian Rosen is currently registered with Southeast Investments, N.c., Inc.. Southeast Investments, N.c., Inc. is a Corporation that was formed on December 6, 1996. They are a registered investment advisor with the SEC and all 51 states. They provide financial planning, selection of other advisors, portfolio management for businesses, and portfolio management for individuals. They also offer wrap fee program participation.

Not reported

Assets Under Management

Not reported

Total Clients

45

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Offer products as a b/d on a commission basis

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Brian Rosen’s Registration & Firm History

NC

07/18/2018 - Present

Southeast Investments, N.c., Inc. (CHARLOTTE NC)

VT

03/25/2017 - 07/13/2018

MML INVESTORS SERVICES, LLC (COLCHESTER VT)

VT

01/02/2015 - 03/25/2017

MSI FINANCIAL SERVICES, INC. (COLCHESTER VT)

VT

12/06/2012 - 01/02/2015

NEW ENGLAND SECURITIES (COLCHESTER VT)

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Licenses & Designations

BC

Issued 05/19/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/05/2012

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 5 public disclosures for Brian Alan Rosen. Review regulatory record here.
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