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JOHN FRANCIS ROSENSTERN
CRD#: 1243207
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MORGAN STANLEYCRD#: 149777 Pensacola, FL
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Disclosures
38
Years of Experience
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State Registrations
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Alabama 6/1/2009
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Minnesota 12/22/2016
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Arizona 10/12/2011
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Mississippi 10/24/2014
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Arkansas 7/17/2012
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Missouri 6/1/2009
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California 6/1/2009
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Montana 9/2/2022
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Colorado 11/26/2012
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Nevada 6/1/2009
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Connecticut 1/21/2010
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New York 11/10/2020
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Florida 6/1/2009
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North Carolina 2/2/2012
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Florida 6/26/2024
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Ohio 6/1/2009
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Georgia 10/8/2010
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Oklahoma 4/7/2010
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Idaho 3/20/2014
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Pennsylvania 6/1/2009
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Illinois 2/3/2015
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South Carolina 6/29/2021
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Indiana 1/9/2015
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South Dakota 9/21/2011
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Iowa 8/24/2022
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Tennessee 8/22/2019
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Kansas 2/2/2010
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Texas 3/27/2012
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Kentucky 10/10/2013
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Texas 2/7/2014
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Louisiana 6/1/2009
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Virginia 10/16/2009
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Louisiana 11/12/2010
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Washington 3/30/2021
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Maryland 6/4/2021
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Wisconsin 3/8/2012
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Michigan 6/16/2023
SRO Registrations
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Registered with this firm since 11/12/2010
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/31/1993 - 06/01/2009 | BATON ROUGE, LA | |
B | 07/21/1993 - 07/31/1993 | NEW YORK, NY | |
B | 04/20/1992 - 07/20/1993 | NEW YORK, NY | |
B | 09/24/1986 - 04/22/1992 | ST. LOUIS, MO | |
B | 07/21/1986 - 06/04/1987 |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.