linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Marc Howard Rosa

Smbc Nikko Securities America, Inc.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Marc? Claim Your Profile

About Marc Howard Rosa

Marc Howard Rosa is a financial professional with over 20 years of experience in the securities industry. Marc has a broad range of experience working for firms such as Macquarie Capital (USA) Inc. and AllianceBernstein Investment Research and Management, Inc. Marc is currently registered with Smbc Nikko Securities America, Inc. and is licensed to provide financial services in all states.

Firm Information

Marc Rosa is currently registered with Smbc Nikko Securities America, Inc.. Smbc Nikko Securities America, Inc. is a Corporation registered in the United States and has been in operation since August 8, 1990. The firm has a presence in all 50 states and the District of Columbia, with a total of 52 state registrations. Smbc Nikko Securities America, Inc. has one SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

313

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Marc Rosa’s Registration & Firm History

NY

10/18/2022 - Present

Smbc Nikko Securities America, Inc. (NEW YORK NY)

NY

10/13/2005 - 10/11/2022

MACQUARIE CAPITAL (USA) INC. (NEW YORK NY)

TN

05/01/2002 - 09/21/2004

ALLIANCEBERNSTEIN INVESTMENT RESEARCH AND MANAGEMENT, INC. (NASHVILLE TN)

NJ

08/07/2001 - 10/16/2001

FIRST INVESTORS CORPORATION (EDISON NJ)

Not sure if Marc Howard Rosa is right for you?

Licenses & Designations

BC

Issued 08/06/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/27/2010

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/16/2007

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 10/12/2005

Series 7 - General Securities Representative Examination

BC

Issued 08/04/2001

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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.

Disclosures

There are no public disclosures for Marc Howard Rosa.
Not sure if Marc Howard Rosa is right for you?