Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ethan? Claim Your ProfileEthan Rosen is a financial professional with over 7 years of experience in the industry. Ethan is currently registered with Wells Fargo Securities, LLC and is a Series 7, Series 3, Series 6, Series 22, Series 79, Series 82, Series 99 and SIE licensed representative. Ethan has a strong track record of success in the financial services industry, having previously worked at BOFA Securities, INC., Interactive Brokers LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Uhlmann Price Securities, LLC. Ethan is dedicated to providing clients with personalized financial advice and guidance to help them achieve their financial goals.
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
07/25/2023 - Present
Wells Fargo Securities, LLC (New York NY)
NY
08/19/2019 - 08/02/2021
BOFA SECURITIES, INC. (NEW YORK NY)
IL
02/13/2018 - 06/12/2019
INTERACTIVE BROKERS LLC (CHICAGO IL)
IL
12/01/2015 - 01/22/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NORTHBROOK IL)
IL
09/17/2015 - 12/02/2015
UHLMANN PRICE SECURITIES, LLC (SKOKIE IL)
BOTH
Issued 12/23/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/21/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 07/25/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 07/25/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 07/25/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 07/25/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/2015
Series 7 - General Securities Representative Examination
BC
Issued 06/27/2014
Series 3 - National Commodity Futures Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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