Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric Marshall Rose is a financial advisor who is currently registered with Stonex Financial Inc. in Stamford, CT. Eric has been in the industry since 1998 and holds a Series 7, Series 63, Series 9, Series 10, Series 24, Series 4, Series 55, Series 57TO, Series 87, and SIE licenses. Eric has experience working with clients at Cowen and Company, Jefferies LLC, Oppenheimer & Co. Inc., CIBC World Markets Corp., Cathay Financial Inc, and Prudential Equity Group, 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.
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2
CT
01/29/2024 - Present
Stonex Financial Inc. (Stamford CT)
NY
01/18/2017 - 06/27/2023
COWEN AND COMPANY (NEW YORK NY)
NY
02/04/2008 - 10/25/2016
JEFFERIES LLC (NEW YORK NY)
NY
01/14/2008 - 02/04/2008
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
03/07/2007 - 01/14/2008
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
04/23/2004 - 03/02/2007
CATHAY FINANCIAL INC (NEW YORK NY)
NY
11/10/1997 - 05/11/2004
PRUDENTIAL EQUITY GROUP, LLC (NEW YORK NY)
BC
Issued 11/24/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/04/2006
Series 24 - General Securities Principal Examination
BC
Issued 05/13/2003
Series 4 - Registered Options Principal Examination
BC
Issued 10/23/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/03/2000
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 01/25/2006
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 06/02/2004
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/08/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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