Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Aaron Rose is a financial professional with over 10 years of experience in the securities industry. David is currently registered with Smbc Nikko Securities America, Inc. and holds Series 7, Series 63, Series 79, and SIE licenses. David is registered to provide securities-related advice in all 50 states. David was previously employed with SG Americas Securities, LLC.
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.
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.
1
2
NY
09/07/2021 - Present
Smbc Nikko Securities America, Inc. (NEW YORK NY)
NY
11/12/2010 - 08/24/2021
SG AMERICAS SECURITIES, LLC (NEW YORK NY)
BC
Issued 11/23/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/31/2013
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 11/11/2010
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.
F
FINRA
N
NYSE Arca, Inc.
Not sure David Rose is the right advisor for you? Invested Better is here to help.
