Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Rosen is a financial professional with over two decades of experience in the industry. Thomas is currently registered with BNP Paribas Securities Corp. and has previously held positions at LOOP CAPITAL MARKETS LLC, Nomura Securities International, Inc., Nomura Securities North America, LLC, Barclays Capital Inc., SAGENT ADVISORS INC., Banc of America Securities LLC, and Chase Securities Inc. Thomas has a broad range of experience and holds licenses including Series 7, 10, 24, 63, 79TO, and SIE.
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.
1
2
NY
12/08/2015 - Present
BNP Paribas Securities Corp. (NEW YORK NY)
NY
11/20/2012 - 12/04/2015
LOOP CAPITAL MARKETS LLC (NEW YORK NY)
NY
02/01/2010 - 12/15/2011
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
NY
03/19/2010 - 10/28/2011
NOMURA SECURITIES NORTH AMERICA, LLC (NEW YORK NY)
NY
07/21/2008 - 02/12/2009
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
06/03/2008 - 07/21/2008
SAGENT ADVISORS INC. (NEW YORK NY)
NY
08/01/2000 - 05/29/2008
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
05/24/1996 - 08/25/2000
CHASE SECURITIES INC. (NEW YORK NY)
BC
Issued 12/04/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/09/2006
Series 24 - General Securities Principal 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 03/26/1996
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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