Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kenneth? Claim Your ProfileKenneth Howard Rosenbaum is a financial advisor at Oppenheimer & Co. Inc. Kenneth has been in the industry since December 22, 1993, and has a long history with other firms including Citigroup Global Markets Inc., Mesirow Financial, Inc., and Horwitz & Associates, Inc.. Kenneth has expertise in a variety of investment products, including stocks, bonds, mutual funds, and options. Kenneth is registered in multiple states including Arizona, California, Delaware, Florida, Georgia, Illinois, Indiana, Kentucky, Massachusetts, Michigan, Missouri, Nevada, New Jersey, New York, North Carolina, Ohio, Oregon, Texas, Washington, and Wisconsin. Kenneth also holds the Series 7, Series 31, Series 63, and Series 65 licenses.
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.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
IL
04/16/2016 - Present
Oppenheimer & Co. Inc. (CHICAGO IL)
IL
09/01/2000 - 04/15/2009
CITIGROUP GLOBAL MARKETS INC. (CHICAGO IL)
IL
03/23/1994 - 09/12/2000
MESIROW FINANCIAL, INC. (CHICAGO IL)
IL
12/23/1993 - 04/06/1994
HORWITZ & ASSOCIATES, INC. (HIGHLAND PARK IL)
IA
Issued 07/01/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/27/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/26/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 12/22/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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