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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Rosenberg is a financial advisor with over 40 years of experience in the industry. Richard currently works at Merrill Lynch, Pierce, Fenner & Smith Inc. and has been with them since 1977. Richard has worked previously with Merrill Lynch, Pierce, Fenner & Smith, Inc. and The Equitable Life Assurance Society of the United States. Richard specializes in a variety of investment strategies, including retirement planning, college savings, and estate planning. Richard holds a Series 63 and 65 licenses, as well as the SIE and Series 7, 31 and 1 certifications.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
IL
01/04/2002 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NORTHBROOK IL)
NA
08/15/1977 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
NA
03/15/1977 - 07/06/1977
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
IA
Issued 04/26/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/15/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/31/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 08/20/1977
Series 7 - General Securities Representative Examination
BC
Issued 03/09/1977
Series 1 - Registered Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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