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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ricardo? Claim Your ProfileRicardo Rosenberg is an Investment Advisor Representative with Sargent Investment Group. Ricardo has been in the industry since 1981, and has experience working with high net worth individuals, corporations, and charitable organizations. He has held registrations in multiple states, and has passed the Series 63, Series 65, Series 7, Series 15 and SIE exams. Ricardo is currently registered in Maryland and Texas as an Investment Advisor Representative. Ricardo offers a variety of services, including financial planning, pension consulting, and portfolio management.
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.
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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2
MD
08/27/2018 - Present
Sargent Investment Group (BETHESDA MD)
DC
07/01/2003 - 08/09/2018
WELLS FARGO CLEARING SERVICES, LLC (WASHINGTON DC)
NY
08/25/1989 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
04/13/1981 - 08/25/1989
THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)
IA
Issued 02/13/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/05/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/09/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/12/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 04/11/1981
Series 7 - General Securities Representative Examination
Active
Inactive
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