Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Simon? Claim Your ProfileSimon Alexander Rose is a financial advisor registered in the state of New York. Simon has over 27 years of experience in the financial services industry. Simon currently works at Rose & Co. Capital Advisors, LLC. Previously Simon worked at Dahlman Rose & Company, LLC, Puglisi & Co., Tejas Securities Group, Inc., DeMatteo Monness LLC, Prime Charter LTD., Oppenheimer & Co., Inc., and Lehman Brothers Inc. Simon holds the Series 63, Series 7, Series 14, Series 24, Series 55, Series 57TO, and Series 79TO securities licenses. Simon is a licensed securities professional and holds a Series 63 license.
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
NY
05/21/2014 - Present
Rose & Co. Capital Advisors, LLC (NEW YORK NY)
NY
05/12/2003 - 07/01/2011
DAHLMAN ROSE & COMPANY, LLC (NEW YORK NY)
NY
10/19/2000 - 05/09/2003
PUGLISI & CO. (NEW YORK NY)
TX
09/15/1999 - 06/06/2000
TEJAS SECURITIES GROUP, INC. (AUSTIN TX)
NY
04/06/1998 - 08/30/1999
DEMATTEO MONNESS LLC (NEW YORK NY)
NY
02/20/1996 - 03/19/1998
PRIME CHARTER LTD. (NEW YORK NY)
NY
03/15/1993 - 02/26/1996
OPPENHEIMER & CO., INC. (NEW YORK NY)
NY
09/20/1991 - 03/25/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 10/24/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/06/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/19/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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