Unclaimed
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 25 years of experience in the industry. Richard is a registered representative with LPL Financial LLC. Richard has worked in the financial services industry since 1995 and has held previous positions with NYLIFE Securities LLC, AXA Advisors, LLC, Geldermann Securities, Inc., Goldman, Sachs & Co., Morgan Stanley & Co., Incorporated and A.G. Becker Paribas Incorporated. Richard's areas of specialization include portfolio management, financial planning and pension consulting. Richard's firm, LPL Financial LLC, is a leading provider of financial services to individuals and businesses. LPL Financial LLC is a publicly traded company that provides financial advice and investment management services through a network of independent financial advisors.
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.
Consulting and other non-discretionary advisory services
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
08/25/2010 - Present
LPL Financial LLC (CHICAGO IL)
IL
02/04/2004 - 05/14/2010
NYLIFE SECURITIES LLC (DEERFIELD IL)
NY
09/05/2002 - 01/12/2004
AXA ADVISORS, LLC (NEW YORK NY)
NA
01/08/1991 - 02/08/1993
GELDERMANN SECURITIES, INC.
NA
07/11/1988 - 02/04/1989
GOLDMAN, SACHS & CO.
NA
08/14/1984 - 02/05/1987
MORGAN STANLEY & CO., INCORPORATED
NA
11/24/1982 - 09/24/1984
A.G. BECKER PARIBAS INCORPORATED
BOTH
Issued 10/15/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/03/1986
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/04/2002
Series 7 - General Securities Representative Examination
BC
Issued 07/02/1985
Series 3 - National Commodity Futures Examination
BC
Issued 09/30/1982
Series 5 - Interest Rate Options Examination
Active
Inactive
F
FINRA
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