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Peter Alan Rosenberg

Morgan Stanley

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About Peter Alan Rosenberg

Peter Rosenberg is a financial advisor with over 29 years of experience in the financial services industry. Currently, Peter Rosenberg is registered with Morgan Stanley. Peter Rosenberg has a broad range of experience working with individuals, corporations, and institutions. Peter Rosenberg offers a wide range of financial services, including financial planning, asset allocation advice, and portfolio management. Peter Rosenberg holds FINRA Series 7, 63, and 65 licenses, as well as the SIE exam, giving Peter Rosenberg the ability to provide clients with comprehensive financial planning and investment advice.

Firm Information

Peter Rosenberg is currently registered with Morgan Stanley. Morgan Stanley is a Limited Liability Company based in PURCHASE, NY, formed in 2009. They offer a wide range of advisory services, including financial planning, pension consulting, educational seminars, and selection of other advisors. Their client base includes individuals, high-net-worth individuals, investment clubs, corporations, insurance companies, investment companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities. Morgan Stanley manages approximately $10 billion to $50 billion in assets. Their website addresses are HTTP://WWW.MORGANSTANLEYCLIENTSERV.COM and HTTP://WWW.MORGANSTANLEY.COM.
Morgan Stanley

2000 WESTCHESTER AVENUE

PURCHASE, NY 10577-2530

$1.40T

Assets Under Management

335,385

Total Clients

23,624

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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asset allocation advice

Asset allocation advice

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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other

See schedule d miscellaneous

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Peter Rosenberg’s Registration & Firm History

CA

11/15/2023 - Present

Morgan Stanley (Woodland Hills CA)

CA

04/17/2015 - 02/04/2020

HSBC SECURITIES (USA) INC. (BEVERLY HILLS CA)

CA

01/23/2007 - 04/03/2015

CITY NATIONAL SECURITIES, INC. (LOS ANGELES CA)

CA

06/29/2006 - 10/12/2006

WELLS FARGO INVESTMENTS, LLC (NORTHRIDGE CA)

CA

10/15/2002 - 07/27/2006

BEAR, STEARNS & CO. INC. (LOS ANGELES CA)

NY

01/13/2001 - 10/30/2002

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

MD

06/14/2000 - 01/13/2001

DB ALEX. BROWN LLC (BALTIMORE MD)

NY

02/13/1998 - 06/16/2000

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

NY

01/09/1995 - 02/04/1998

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NY

11/16/1992 - 12/20/1994

THOMAS JAMES ASSOCIATES, INC. (ROCHESTER NY)

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Licenses & Designations

IA

Issued 05/03/2000

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/19/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/11/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

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NYSE American LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Peter Alan Rosenberg.
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