Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip E. Rosensweig is a financial advisor with over 39 years of experience in the industry. Philip is currently registered with Sutter Securities Inc. and is active in 33 states. Philip has experience at BOUSTEAD SECURITIES, LLC, WESTPARK CAPITAL, INC., LAIDLAW & COMPANY (UK) LTD., INTERNATIONAL ASSETS ADVISORY, LLC, MAXIM GROUP LLC, DAWSON JAMES SECURITIES, INC., R. F. LAFFERTY & CO., INC., GUNNALLEN FINANCIAL, INC, CANTELLA & CO., INC., RAYMOND JAMES FINANCIAL SERVICES, INC., DEAN WITTER REYNOLDS INC., SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED, PRUDENTIAL-BACHE SECURITIES INC., J. B. HANAUER & CO., and LISS TENNER & GOLDBERG SECURITIES CORPORATION. Philip has passed the Series 63, Series 65, Series 7, Series 31, Series 52, Series 6TO, Series 79TO, and SIE exams.
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
FL
01/17/2021 - Present
Sutter Securities Inc. (Boca Raton FL)
FL
01/15/2021 - 02/16/2021
BOUSTEAD SECURITIES, LLC (Boca Raton FL)
FL
08/24/2015 - 01/25/2021
WESTPARK CAPITAL, INC. (BOCA RATON FL)
FL
09/16/2013 - 09/14/2015
LAIDLAW & COMPANY (UK) LTD. (FT. LAUDERDALE FL)
FL
07/13/2012 - 08/26/2013
INTERNATIONAL ASSETS ADVISORY, LLC (ORLANDO FL)
FL
07/12/2012 - 07/16/2012
MAXIM GROUP LLC (BOCA RATON FL)
FL
11/08/2010 - 05/29/2012
DAWSON JAMES SECURITIES, INC. (BOCA RATON FL)
NY
03/22/2010 - 11/08/2010
R. F. LAFFERTY & CO., INC. (NEW YORK NY)
FL
01/15/2004 - 03/26/2010
GUNNALLEN FINANCIAL, INC (PARKLAND FL)
MA
01/25/2000 - 12/31/2003
CANTELLA & CO., INC. (MALDEN MA)
FL
07/01/1999 - 01/10/2000
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)
NY
09/25/1992 - 06/23/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
01/30/1989 - 10/06/1992
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NA
04/09/1984 - 02/09/1989
PRUDENTIAL-BACHE SECURITIES INC.
NA
03/20/1984 - 03/30/1984
J. B. HANAUER & CO.
NA
05/16/1983 - 03/19/1984
LISS TENNER & GOLDBERG SECURITIES CORPORATION
IA
Issued 12/03/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/25/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 08/20/1983
Series 7 - General Securities Representative Examination
BC
Issued 05/12/1983
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
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