Barry J. Rosenberg

MONERE WEALTH MANAGEMENT

Schaumburg, IL 60173

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CRD#: 1183821

Professional summary

Barry Joseph Rosenberg is a registered financial advisor currently at MONERE WEALTH MANAGEMENT, INC. located in Schaumburg, Illinois and MONERE INVESTMENTS, INC. located in Schaumburg, Illinois.

Barry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Barry has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 15 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barry Joseph Rosenberg's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 7, 2015 - Present

MONERE WEALTH MANAGEMENT, INC.

Office #1: 20 N. Martingale Road Suite 450, Schaumburg, IL 60173

RIA

CRD#: 173076

Schaumburg, IL

Current

December 4, 2015 - Present

MONERE INVESTMENTS, INC.

Office #1: 20 N. Martingale Road Suite 450, Schaumburg, IL 60173Office #2: 20 N. Martingale Road Suite 450, Schaumburg, IL 60173

CRD#: 105487

Schaumburg, IL

Past

August 11, 2015 - January 4, 2016

SANCTUARY ADVISORS, LLC

RIA

CRD#: 226606

CHICAGO, IL

Past

September 9, 2009 - August 11, 2015

SANCTUARY SECURITIES, INC.

RIA

CRD#: 205

CHICAGO, IL

Past

September 9, 2009 - January 4, 2016

SANCTUARY SECURITIES, INC.

CRD#: 205

CHICAGO, IL

Past

January 25, 2007 - September 9, 2009

MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 111135

CHICAGO, IL

Past

January 3, 1999 - September 9, 2009

MESIROW FINANCIAL, INC.

RIA

CRD#: 2764

CHICAGO, IL

Past

December 15, 1993 - September 9, 2009

MESIROW FINANCIAL, INC.

CRD#: 2764

CHICAGO, IL

Past

September 29, 1987 - January 1, 1994

MESIROW INVESTMENT SERVICES, INC.

CRD#: 15113

Past

October 20, 1983 - October 8, 1987

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MONERE WEALTH MANAGEMENT, INC.

MONERE INVESTMENTS, INC. | MONERE WEALTH MANAGEMENT, INC.

CRD#: 173076 / SEC#: 801-117039

RIA

Registered Investment Advisory firm - (7/26/2019 Approved)

Florida

Registered Investment Advisory firm - (7/29/2019 Terminated)

Illinois

Registered Investment Advisory firm - (7/26/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(12/4/2015)

Florida
(1/6/2016)

Illinois
(12/4/2015)

IAR

Illinois
(12/7/2015)

Maine
(12/4/2015)

IAR

Minnesota
(1/7/2022)

Oregon
(12/4/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/17/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/25/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 15

Date: 5/17/1984

Foreign Currency Options Examination

General Industry/Product Exam

Series 7

Date: 10/15/1983

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MONERE WEALTH MANAGEMENT, INC.

MONERE INVESTMENTS, INC. | MONERE WEALTH MANAGEMENT, INC.

CRD#: 173076 / SEC#: 801-117039

RIA

Registered Investment Advisory firm - (7/26/2019 Approved)

Florida

Registered Investment Advisory firm - (7/29/2019 Terminated)

Illinois

Registered Investment Advisory firm - (7/26/2019 Terminated)

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Contact information

Main Address

20 N. Martingale Road Suite 450, Schaumburg, IL 60173

Mailing Address

Phone number

(312) 585-3850

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MONERE WEALTH MANAGEMENT INC (1/21/2025)

Regulatory assets under management

Total Number of Accounts	555
AUM (Assets Under Management)	$ 270,000,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Barry J. Rosenberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barry Joseph Rosenberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

MONERE INVESTMENTS, INC.

SANCTUARY ADVISORS, LLC

SANCTUARY SECURITIES, INC.

SANCTUARY SECURITIES, INC.

MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.

MESIROW FINANCIAL, INC.

MESIROW FINANCIAL, INC.

MESIROW INVESTMENT SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

MONERE WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/17/1998

Series 63

Date: 10/25/1983

SIE

Date: 10/1/2018

Series 15

Date: 5/17/1984

Series 7

Date: 10/15/1983

FINRA

Current Firm

MONERE WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MONERE WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

Contact information

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