Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Rosen is an experienced financial professional with over 20 years in the industry. Currently, Christopher is a Registered Representative at Hsbc Securities (usa) Inc. and has held this position since April 2006. Before joining Hsbc Securities (usa) Inc., Christopher worked at UBS Securities LLC and Bear, Stearns & Co. Inc.. Christopher has a strong background in securities trading, holding the Series 57TO, SIE and Series 7 licenses. Christopher is also a Series 4, Series 9, and Series 10 Principal. Christopher is registered with the Financial Industry Regulatory Authority (FINRA) and is licensed to provide financial services in 53 states and territories.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
NY
04/18/2006 - Present
Hsbc Securities (usa) Inc. (NEW YORK NY)
NY
04/13/2005 - 03/22/2006
UBS SECURITIES LLC (NEW YORK NY)
NY
07/12/2000 - 04/15/2005
BEAR, STEARNS & CO. INC. (NEW YORK NY)
BC
Issued 08/23/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/12/2017
Series 4 - Registered Options Principal Examination
BC
Issued 06/16/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/05/2015
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/11/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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