linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Noah Ellis Rosen

DFA Securities LLC

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

About Noah Ellis Rosen

Noah Ellis Rosen is a financial advisor with DFA Securities LLC. Noah has been in the financial services industry since 2012. Noah is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 7, Series 31, Series 63 and Series 66 licenses. Noah has experience working with various firms, including AIG Capital Services, ICMA-RC Services, Guggenheim Funds Distributors, VP Distributors, Merrill Lynch, Pierce, Fenner & Smith, Morgan Stanley Smith Barney and Washington Securities Corporation.

Firm Information

Noah Rosen is currently registered with DFA Securities LLC. DFA Securities LLC is a Limited Liability Company formed in April 2009 and is registered in 53 states and with the Securities and Exchange Commission.

Not reported

Assets Under Management

Not reported

Total Clients

237

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.

Noah Rosen’s Registration & Firm History

NC

02/10/2023 - Present

DFA Securities LLC (CHARLOTTE NC)

NJ

02/02/2022 - 10/05/2022

AIG CAPITAL SERVICES, INC. (JERSEY CITY NJ)

DC

04/04/2019 - 03/23/2020

ICMA-RC SERVICES, LLC (WASHINGTON DC)

IL

10/11/2016 - 02/25/2019

GUGGENHEIM FUNDS DISTRIBUTORS, LLC (CHICAGO IL)

CT

11/10/2011 - 09/22/2016

VP DISTRIBUTORS LLC (HARTFORD CT)

MA

05/18/2011 - 10/12/2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SPRINGFIELD MA)

MA

08/17/2010 - 05/26/2011

MORGAN STANLEY SMITH BARNEY (SPRINGFIELD MA)

MD

01/18/2010 - 08/31/2010

WASHINGTON SECURITIES CORPORATION (CHEVY CHASE MD)

Not sure if Noah Ellis Rosen is right for you?

Licenses & Designations

BOTH

Issued 11/07/2010

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/07/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/08/2011

Series 31 - Futures Managed Funds Examination

BC

Issued 01/16/2010

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Noah Ellis Rosen.
Not sure if Noah Ellis Rosen is right for you?