Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karl? Claim Your ProfileKarl Rozak is an investment advisor representative with Oppenheimer & Co. Inc.. Karl has been in the industry for over 27 years and is registered with the state of New York. Karl is a Series 7, Series 3, Series 63 and Series 65 licensed representative and is currently licensed in 4 states: Florida, New Jersey, New York and Texas. In the past Karl has also worked for CIBC World Markets Corp., Grady and Hatch & Company, Inc., Oppenheimer & Co., Inc., and Sands Brothers & Co., Ltd.. Karl has expertise in providing financial planning, pension consulting, and portfolio management for businesses and individuals.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Earned based on transactions or products sold.
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
02/09/2017 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NY
07/19/1999 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
02/13/1997 - 03/25/1999
GRADY AND HATCH & COMPANY, INC. (STATEN ISLAND NY)
NY
02/27/1997 - 09/05/1997
OPPENHEIMER & CO., INC. (NEW YORK NY)
NY
05/21/1993 - 02/07/1995
SANDS BROTHERS & CO., LTD. (NEW YORK NY)
IA
Issued 04/20/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/01/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/05/2001
Series 3 - National Commodity Futures Examination
BC
Issued 06/22/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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