Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Alan Rosenberg is a financial advisor registered in California and Arizona. Mark has been working in the financial services industry since 1986. Mark is currently employed by Western International Securities, Inc. Previously Mark was employed by Financial West Group and Spectrum Securities, Inc. among others. Mark also holds the Series 63, Series 65, Series 7, Series 15, and SIE licenses. Mark specializes in financial planning, pension consulting, educational seminars, selection of other advisors, and portfolio management for businesses and individuals.
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.
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.
A percentage of the total value of assets under management is charged.
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CA
08/21/2017 - Present
Western International Securities, Inc. (Northridge CA)
CA
01/11/1996 - 08/21/2017
FINANCIAL WEST GROUP (SCOTTS VALLEY CA)
CA
02/13/1995 - 12/31/1995
SPECTRUM SECURITIES, INC. (AROURA HILLS CA)
NV
03/03/1993 - 11/15/1993
FINANCIAL WEST GROUP (RENO NV)
CA
03/11/1991 - 07/29/1991
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
NY
03/01/1983 - 05/24/1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 07/31/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/15/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/24/1985
Series 15 - Foreign Currency Options Examination
BC
Issued 02/19/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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