Martin W. Rosenzveig

MARTIN W. ROSENZVEIG & CO.

Beverly Hills, CA

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CRD#: 1194229

Professional summary

Martin Wolf Rosenzveig, who also goes by Marty Rosenzveig, is a registered financial advisor currently at MARTIN W. ROSENZVEIG & CO., LLC located in Beverly Hills, California.

Martin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Martin has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Marty Rosenzveig

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 Martin Wolf Rosenzveig's 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

May 8, 2018 - Present

MARTIN W. ROSENZVEIG & CO., LLC

RIA

CRD#: 294583

Beverly Hills, CA

Past

December 4, 2017 - May 8, 2018

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

BEVERLY HILLS, CA

Past

December 4, 2017 - May 8, 2018

G.F. INVESTMENT SERVICES, LLC

CRD#: 132939

Beverly Hills, CA

Past

November 29, 2017 - December 12, 2017

LPL FINANCIAL LLC

RIA

CRD#: 6413

BEVERLY HILLS, CA

Past

November 29, 2017 - December 12, 2017

LPL FINANCIAL LLC

CRD#: 6413

BEVERLY HILLS, CA

Past

January 10, 2011 - November 29, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

BEVERLY HILLS, CA

Past

January 7, 2011 - November 29, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

BEVERLY HILLS, CA

Past

August 6, 2009 - December 31, 2010

CETERA ADVISORS LLC

RIA

CRD#: 10299

BEVERLY HILLS, CA

Past

January 1, 2004 - December 31, 2010

CETERA ADVISORS LLC

CRD#: 10299

BEVERLY HILLS, CA

Past

April 9, 1998 - January 1, 2004

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

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.

Highlighted states indicate IAR registrations

IAR

California
(5/8/2018)

IAR

Louisiana
(8/31/2020)

IAR

Michigan
(5/17/2018)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/24/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/1/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/8/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/7/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MARTIN W. ROSENZVEIG & CO., LLC

CRD#: 294583 / SEC#:

California

Registered Investment Advisory firm - (5/8/2018 Approved)

Louisiana

Registered Investment Advisory firm - (8/31/2020 Approved)

Michigan

Registered Investment Advisory firm - (5/10/2018 Approved)

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Contact information

Main Address

Beverly Hills, CA

Mailing Address

Phone number

(248) 752-7647

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	48
AUM (Assets Under Management)	$ 21,561,314

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.

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Advisor Monitoring

Firm Stability Insights

Martin W. Rosenzveig

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Martin Wolf Rosenzveig's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

G.F. INVESTMENT SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

CETERA ADVISORS LLC

CETERA ADVISORS LLC

VESTAX SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 7/24/2009

Series 63

Date: 5/1/1998

SIE

Date: 5/8/2018

Series 6

Date: 4/7/1998

Current Firm

MARTIN W. ROSENZVEIG & CO., LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MARTIN W. ROSENZVEIG & CO., LLC

TRUST BUT VERIFY

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