Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Rosenberg is a financial advisor with over 39 years of experience in the financial services industry. Thomas is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. as a Registered Representative. Thomas has experience working with individuals, families, and businesses. He is licensed to provide financial advice in multiple states, including New York, Connecticut and Texas. Thomas Rosenberg is committed to providing his clients with personalized financial advice and services. He offers a range of services, including portfolio management, financial planning, and investment advice. Thomas has a comprehensive understanding of the financial markets and is committed to helping his clients achieve their financial goals.
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
NY
11/17/1997 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NA
06/24/1983 - 04/03/1987
FIRST INVESTORS CORPORATION
IA
Issued 08/29/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/02/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/10/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 05/16/1987
Series 7 - General Securities Representative Examination
BC
Issued 06/23/1983
Series 6 - Investment Company Products/Variable Contracts 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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