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Stephen R Rosen

Hightower Advisors, LLC

Chicago, IL

Bethesda, MD

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Current Employers
Hightower Advisors, Llc

200 W. Madison St. Suite 2500, Chicago, IL 60606 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2013-01-11
  • MD RA
    APPROVED
    Since 2013-01-11

Branch Locations

200 W. Madison St. Suite 2500, Chicago, IL 60606 • United States

7200 Wisconsin Avenue Suite 910, Bethesda, MD 20814 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Hightower Securities, Llc Bethesda MD 01/2013 Present
Hightower Advisors, Llc Reston VA 01/2013 Present
  • 01/2013 → Present
    Hightower Securities, Llc
    Bethesda, MD
  • 01/2013 → Present
    Hightower Advisors, Llc
    Reston, VA
Previous Registrations
  • 2009-06-01 → 2013-02-06
    Morgan Stanley
    Bethesda, MD
  • 2008-06-12 → 2009-06-01
    Morgan Stanley & Co. Llc
    Bethesda, MD
  • 2006-07-13 → 2008-06-26
    Ubs Financial Services Inc.
    Bethesda, MD
    White Plains, NY
    Purchase, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-11-21
S63 Uniform Securities Agent State Law Examination 1994-10-24
  • S66 Uniform Combined State Law Examination
    2006-11-21
  • S63 Uniform Securities Agent State Law Examination
    1994-10-24
Other Names
  • Stephen Robert Rosen

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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