Unclaimed Profile

Michael Scott Rosen

CONCEPT CAPITAL MARKETS, LLC·GARDEN CITY, New York

SIE, Series 3, Series 4, Series 7, Series 24, Series 55, Series 57TO, Series 63, Series 66, Series 79TO, Series 99TO12 years registeredCONCEPT CAPITAL MARKETS, LLC

1010 FRANKLIN AVENUE, GARDEN CITY, NY 11530-5942CRD# 1449872Firm CRD# 153397

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Michael Scott Rosen · GARDEN CITY, NY

Registration

CRD #1449872 · CONCEPT CAPITAL MARKETS, LLC · 12 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: CONCEPT CAPITAL MARKETS, LLC

CONCEPT CAPITAL MARKETS, LLC

Feb 2014 – Mar 2011

NEW YORK, NY

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 4

Series 7

Series 24

Series 55

Series 57TO

Series 63

Series 66

Series 79TO

Series 99TO

Registration record

First registered · February 18, 2014

Years registered · 12

Disclosure History

2009Regulatory·Final

2008Regulatory·Final

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

COWEN PRIME SERVICES LLC

CRD 153397 · SEC 801-72184

AUM

$359M

Regulatory assets under management

Employees

200 client accounts

Services offered by COWEN PRIME SERVICES LLC

Per Form ADV

Portfolio management (individuals)

Selection of other advisers

Client types served by the firm

Per Form ADV

Individuals

View all advisors at COWEN PRIME SERVICES LLC →

Introduction

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Frequently Asked Questions

What services does Michael Scott Rosen offer?

Michael Scott Rosen specializes in Investment Management, Wealth Management.

What are Michael Scott Rosen's credentials?

Michael Scott Rosen is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Michael Scott Rosen located?

Michael Scott Rosen is based in GARDEN CITY, New York, last registered with CONCEPT CAPITAL MARKETS, LLC.

How does Michael Scott Rosen charge for services?

Michael Scott Rosen's firm is compensated through percentage of aum, commissions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is CONCEPT CAPITAL MARKETS, LLC?

CONCEPT CAPITAL MARKETS, LLC has approximately 4 employees and manages $359M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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