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119 Washington Avenue Suite 400, Miami Beach, FL 33139 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2025-07-10 |
Branch Locations
119 Washington Avenue Suite 400, Miami Beach, FL 33139 • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Scarsdale | NY | 10/2009 | 08/2017 |
| Bank Of America, N.A. | Greenwich | CT | 11/2009 | 08/2017 |
| Morgan Stanley | Westport | CT | 08/2017 | 05/2025 |
| Morgan Stanley Private Bank, National Association | New York | NY | 10/2017 | 05/2025 |
| Saxony Securities, Inc. | St. Louis | MO | 06/2025 | Present |
| Rose Capital Advisors, Llc | Miami Beach | FL | 06/2025 | Present |
1.) 6/2025 Rose Capital Advisors, LLC; Investment Advisory Firm; Senior Wealth Advisor/Investment Adviser Representative; Investment Related; Westport, CT 06880; 120 hrs/month; 60 hrs during trading hrs/month Provides Investment Advise 2.) 6/2025 Saxony Securities, Inc; Broker Dealer; Registered Representative; Investment Related; Westport, CT 06880; 65 hrs/month; 50 hrs during trading hrs/month; traditional non-advisory client trading and non-fee based, long term structured investment 3.) 9/2017 Licensed Independent Insurance Agent; Investment Related; Various Insurance Companies; Westport, CT 06880; Non-Variable, Life & Health Insurance, 10 hrs/month during trading. 4) Rose Capital Advisors; DBA for Investment-Related Activity
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-07-06 |
| S63 | Uniform Securities Agent State Law Examination | 1992-10-26 |
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