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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Louis Rosenberg is a financial advisor with over 25 years of experience in the industry. Robert Rosenberg is currently registered with Stifel, Nicolaus & Company, Inc. Robert Rosenberg specializes in financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses and individuals, and portfolio management for pooled investment vehicles. Previous to Stifel, Nicolaus & Company, Inc., Robert Rosenberg was registered with MORGAN STANLEY SMITH BARNEY, CITIGROUP GLOBAL MARKETS INC., LEGG MASON WOOD WALKER, INCORPORATED, WACHOVIA SECURITIES, LLC, and DEAN WITTER REYNOLDS INC.. Robert Rosenberg holds a Series 63, Series 65, Series 7, Series 31, and SIE license.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
PA
10/31/2024 - Present
Stifel, Nicolaus & Company, Inc. (WILKES-BARRE PA)
PA
06/01/2009 - 02/23/2011
MORGAN STANLEY SMITH BARNEY (WILKES BARRE PA)
NY
02/21/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
MD
08/15/2003 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
MO
07/01/2003 - 08/19/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
12/11/1998 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
11/17/1995 - 01/12/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 07/21/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/27/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/05/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 11/16/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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