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600 Lexington Avenue 15Th Floor, New York, NY 10022 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-06-21 |
| NY | RA | APPROVED | 2021-04-01 |
| CT | RA | APPROVED | 2021-03-04 |
| NJ | RA | APPROVED | 2002-09-12 |
Branch Locations
600 Lexington Avenue 15Th Floor, New York, NY 10022 • United States
1 disclosure category 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 |
|---|---|---|---|---|
| Shufro Rose & Co., Llc | New York | NY | 01/2001 | Present |
| Purshe Kaplan Sterling Investments | Albany | NY | 12/2015 | Present |
1.Shufro, Rose & Co., LLC Investment Related, Address:600 Lexington Ave, 15th Floor, New York, NY 10022, Registered Investment Advisor, Position: Senior Managing Director, Start Date: 02/2001, 150 hours devoted a month, 150 hours devoted during securities trading hours, Duties: Portfolio manager for individual clients accounts.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-07-10 |
| S63 | Uniform Securities Agent State Law Examination | 1988-08-18 |
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