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Eric Rosen

Chief Compliance Officer; Chief Operating Officer at Signature Estate & Investment Advisors

Investment adviser and broker registrationsLos Angeles, CASEC record checked 17 October 2026

12
Years in the industry
10
Years at the firm
4
Adviser firms
1
State registrations

IAPD record retrieved 17 October 2026SEC record

Eric Rosen is Chief Compliance Officer; Chief Operating Officer of Signature Estate & Investment Advisors LLC, a Los Angeles investment adviser managing $22.5B. Eric Rosen has been registered through Signature Estate & Investment Advisors since 26 July 2016, has 12 years in the industry across 4 firms and has passed 7 licensing exams.

Role at Signature Estate & Investment Advisors

Title on Schedule A
Chief Compliance Officer; Chief Operating Officer
Control
Eric Rosen is a control person of Signature Estate & Investment Advisors.
Ownership
An individual ownership band is not available in the source record.
Tenure
Eric Rosen has held the filed Chief Compliance Officer role since 2017-12-01 and Chief Operating Officer role since 2025-12-01.

The firm

Signature Estate & Investment Advisors LLC
Los Angeles, CA

Form ADV filed 14 September 2026

$22.5B AUM9,833 clients128 advisers26 offices

Career on record

Eric Rosen has been registered through Signature Estate & Investment Advisors since July 2016, and before that through Wedbush Securities Inc..

Firms and exams, newest first
  1. Passed Series 57TO · 2023
  2. Passed SIE · 2018
  3. Signature Investment Advisors, LLCCurrent
    – present · 8 years
    Los Angeles, CA · Adviser representative · Firm CRD 160715
  4. Signature Intelligent Portfolios, LLC
    – · 7 years
    Los Angeles, CA · Adviser representative · Firm CRD 281391
  5. Passed Series 51 · 2017
  6. SeiaCurrent
    – present · 10 years
    Los Angeles, CA · Adviser representative · Firm CRD 108163
  7. Wedbush Securities Inc.
    – · under a year
    Los Angeles, CA · Adviser representative · Firm CRD 877
  8. Passed Series 66 · 2016
  9. Passed Series 55 and Series 24 · 2015
  10. Passed Series 7 · 2014

Registrations and exams

Eric Rosen has a current investment-adviser registration in California and has passed 7 qualifying exams.

California26 July 2016
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6621 January 2016
Name
Uniform Combined State Law Examination
Series 5112 August 2017
Name
Municipal Fund Securities Principal Examination
Series 2429 October 2015
Name
General Securities Principal Examination
Series 57TO2 January 2023
Name
Securities Trader Exam
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 5521 July 2015
Name
Limited Representative-Equity Trader Exam
Series 718 February 2014
Name
General Securities Representative Examination

Individual record

Full name
Eric Zachary Rosen
CRD
6181478
Firm
Signature Estate & Investment Advisors LLC
Registration status
Investment adviser and broker registrations
Office
2121 AVENUE OF THE STARS, SUITE 1600, Los Angeles, CA 90067

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

The firm's official leadership page lists Eric Rosen as Chief Operating Officer. SIGNATURE ESTATE & INVESTMENT ADVISORS LLC, official leadership page

Common questions

Where does Eric Rosen work?

Eric Rosen is Chief Compliance Officer; Chief Operating Officer of Signature Estate & Investment Advisors LLC, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 14 September 2026

Is Eric Rosen a financial advisor?

Yes. Eric Rosen has a current investment-adviser registration in California, through Signature Estate & Investment Advisors since July 2016, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does Eric Rosen have?

Eric Rosen has worked in the financial industry for 12 years as of 17 October 2026, counted from 25 April 2014, across 4 adviser firms.

Source: IAPD individual record, checked 17 October 2026

What exams has Eric Rosen passed?

Eric Rosen has passed 7 licensing exams: the Series 7, Series 55, Series 24, Series 66, Series 51, SIE and Series 57TO. The earliest, the Series 7, was passed in February 2014.

Source: IAPD individual record, checked 17 October 2026

Where did Eric Rosen work before Signature Estate & Investment Advisors?

Before Signature Estate & Investment Advisors, Eric Rosen was registered through Wedbush Securities Inc., January 2016 to May 2016.

Source: IAPD individual record, checked 17 October 2026

Where is Eric Rosen based?

Eric Rosen’s registered office is in Los Angeles, CA.

Source: IAPD individual record, checked 17 October 2026

Leadership at Signature Estate & Investment Advisors

Sources

  1. IAPD individual record, CRD 6181478. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Signature Estate & Investment Advisors LLC, filed 14 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Eric Rosen or Signature Estate & Investment Advisors LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.