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Simon Alexander Rose

Rose & Co. Capital Advisors, LLC

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About Simon Alexander Rose

Simon 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.

Firm Information

Simon Rose is currently registered with Rose & Co. Capital Advisors, LLC. Rose & Co. Capital Advisors, LLC is a Limited Liability Company formed on June 10, 2013 in New York. The firm is registered with the Securities and Exchange Commission and the state of New York.

Not reported

Assets Under Management

Not reported

Total Clients

4

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.

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Simon Rose’s Registration & Firm History

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)

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Licenses & Designations

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

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Simon Alexander Rose. Review regulatory record here.
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