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STEPHEN ROSENZWEIG
CRD#: 404801
IA
B
EQUITABLE ADVISORS, LLCCRD#: 6627 3141 FAIRVIEW PARK DRIVE
SUITE 250
FALLS CHURCH, VA 22042
SUITE 250
FALLS CHURCH, VA 22042
0
Disclosures
52
Years of Experience
View By:
State Registrations
B
Arizona 9/22/2008
IA
Indiana 3/21/2011
B
Arkansas 2/3/2025
B
Maryland 6/1/2005
IA
Arkansas 2/4/2025
IA
Maryland 6/1/2005
B
California 6/1/2005
B
New Jersey 2/20/2013
IA
California 4/23/2021
IA
New Jersey 4/17/2013
B
Colorado 6/1/2005
B
New York 6/1/2005
IA
Colorado 8/26/2021
B
North Carolina 3/7/2016
B
Connecticut 3/21/2022
IA
North Carolina 3/8/2016
B
Delaware 9/22/2008
B
Oregon 6/1/2005
B
District of Columbia 6/1/2005
B
Pennsylvania 9/22/2008
IA
District of Columbia 6/1/2005
IA
Pennsylvania 3/30/2011
B
Florida 6/1/2005
B
South Carolina 6/1/2005
IA
Florida 6/25/2013
IA
South Carolina 11/9/2020
B
Georgia 10/30/2024
B
Virginia 6/1/2005
IA
Georgia 11/1/2024
IA
Virginia 6/1/2005
B
Indiana 6/1/2005
B
West Virginia 2/11/2015
SRO Registrations
B
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IA
Registered with this firm since 6/1/2005
B
Registered with this firm since 6/1/2005
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/25/2002 - 06/01/2005 | BETHESDA, MD | |
B | 10/12/1972 - 06/01/2005 | NEW YORK, NY | |
B | 10/12/1972 - 10/15/1990 | NEW YORK, NY |
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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.