Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Robert Rosenberg is a financial advisor with over 20 years of experience in the financial services industry. Alan currently works for Raymond James & Associates, Inc. in Garden City, New York. Previously, Alan was a financial advisor for firms such as Merrill Lynch, Pierce, Fenner & Smith Incorporated, Advest, Inc., Banc of America Investment Services, Inc., Quick & Reilly, Inc., and UBS PaineWebber Inc. Alan holds several licenses and certifications, including Series 7, Series 31, Series 66 and SIE. Alan specializes in providing financial advice to individuals, businesses, insurance companies, pension plans, banking institutions, and charitable organizations.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
08/17/2021 - Present
Raymond James & Associates, Inc. (GARDEN CITY NY)
NY
03/08/2006 - 09/13/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GARDEN CITY NY)
CT
04/29/2005 - 03/08/2006
ADVEST, INC. (HARTFORD CT)
MA
10/20/2004 - 05/03/2005
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
12/18/2002 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
NY
05/17/2001 - 12/19/2002
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
05/22/2000 - 05/24/2001
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
BOTH
Issued 07/09/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/12/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 05/19/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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