Mr. Rose’s career in the securities industry spans over 30 years. He is a founding partner and Vice Chairman of Maxim Group, and in addition he serves in the capacity of Special Counsel. He served as Maxim Group’s General Counsel from inception until March 2020, in which capacity he oversaw the Legal and Compliance departments, as well as the Firm’s day-to-day operations. Since March 2020, Mr. Rose has managed Maxim Group’s Saratoga Springs office.
Prior to founding Maxim Group, Mr. Rose was General Counsel of the Private Client Group and Director of Litigation for Investec Ernst & Company, a global financial services company headquartered in South Africa and the UK. Mr. Rose joined Investec through an acquisition of a boutique investment banking firm, where he acted in similar capacities.
Mr. Rose has served on many committees designed to improve the securities industry and has spoken extensively at legal and compliance seminars for industry professionals. He has served as an adjunct professor at Fordham Law School for 20 years.
Mr. Rose graduated from the State University at Albany with honors in 1983. He obtained his law degree from Fordham University School of Law in 1991, where he was a member of the International Law Journal and the Moot Court Board. Mr. Rose is very active in fundraising efforts, currently serving in various capacities for Alzheimer’s Foundation of America, Angela’s House and Torch Program.