Seth Rosen Email & Phone Number
Chief Compliance Officer
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Seth Rosen Location
- Little Silver, NJ, US
Seth Rosen Work
- Chief Compliance Officer @ Quad Capital LLC (October 2008 - Present)
- Chief Compliance Officer; Chief Financial Officer @ Quad Capital LLC (January 2008 - Present)
- Chief Compliance Officer @ KV Execution Services (March 2000 - May 2008)
- Chief Executive Officer; Chief Compliance Officer @ KV Execution Services LLC (January 2000 - January 2008)
- Chief Executive Officer; Chief Compliance Officer @ Century Discount Investments (January 1998 - January 2000)
- Chief Operating Officer; Chief Compliance Officer @ National Discount Brokers (January 1993 - January 1998)
- COO @ National Discount Brokers (January 1993 - January 1998)
- Chief Operating Officer; Chief Compliance Officer @ Bear Hunter Specialists LLC (January 1989 - January 1993)
- Chief Compliance Officer @ (January 1985 - January 1989)
Seth Rosen Education
- Tufts University
Bachelor of Arts (B.A.) cum laude
1982-1984
Seth Rosen Skills
- Wsp Writing
- Series 14
- Series 27
- Hold Series 7
- Series 9 And 10
- Rule 105
- Form Nma
- KYC
- Form Bd
- Focus
- Crd
- AML
- Series 24
- Finra Exam Experience
Seth Rosen Summary
- Seth Rosen, based in Little Silver, NJ, US, is currently a Chief Compliance Officer at Quad Capital LLC. Seth Rosen brings experience from previous roles at Quad Capital LLC, KV Execution Services, KV Execution Services LLC and Century Discount Investments. Seth Rosen holds a 1982 - 1984 Bachelor of Arts (B.A.) cum laude @ Tufts University. With a robust skill set that includes Wsp Writing, Series 14, Series 27, Hold Series 7, Series 9 And 10 and more. Seth Rosen has 1 emails and 1 mobile phone numbers on RocketReach.
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