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JON SCOTT ROSENWALD
CRD#: 2342016
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 600 HYDE PARK
DOYLESTOWN, PA 18902
DOYLESTOWN, PA 18902
0
Disclosures
31
Years of Experience
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State Registrations
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Alaska 9/2/2024
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New Jersey 8/25/2006
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Arizona 6/18/2024
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New Jersey 8/29/2006
B
California 8/25/2006
B
New Mexico 6/18/2024
B
Colorado 6/18/2024
B
New York 8/25/2006
B
Connecticut 6/18/2024
B
North Carolina 8/25/2006
B
Delaware 11/22/2021
B
Ohio 8/25/2006
B
District of Columbia 6/18/2024
B
Oregon 6/18/2024
B
Florida 8/25/2006
B
Pennsylvania 8/25/2006
B
Georgia 8/25/2006
IA
Pennsylvania 6/23/2010
B
Illinois 6/18/2024
B
South Carolina 8/25/2006
B
Iowa 6/18/2024
B
Tennessee 9/30/2016
B
Louisiana 6/18/2024
B
Texas 1/6/2017
B
Maine 6/18/2024
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Texas 1/9/2017
B
Maryland 8/25/2006
B
Vermont 8/25/2006
B
Massachusetts 6/18/2024
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Virginia 8/25/2006
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Michigan 6/18/2024
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Washington 8/25/2006
B
Minnesota 6/18/2024
B
West Virginia 6/18/2024
B
Missouri 6/18/2024
B
Wisconsin 8/25/2006
B
Montana 6/18/2024
B
Wyoming 6/18/2024
B
New Hampshire 7/26/2018
SRO Registrations
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IA
Registered with this firm since 8/29/2006
B
Registered with this firm since 8/25/2006
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/11/2005 - 08/29/2006 | DOYLESTOWN, PA | |
B | 05/21/1993 - 08/29/2006 | DOYLESTOWN, PA |
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B
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.
IA
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.