Phillip A. Rosenberg
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Phillip Angel Rosenberg, who also goes by Phil Rosenberg, Rosie Rosenberg, was a registered financial advisor .
Phillip is a previously registered financial advisor and started their career in finance in 1984. Phillip had worked at 5 firms and has passed the Series 63, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2010 - December 31, 2012
RESOURCE HORIZONS GROUP LLC
March 30, 2004 - December 8, 2009
INVESTORS CAPITAL CORP.
March 17, 2003 - February 11, 2004
MML INVESTORS SERVICES, LLC
December 24, 1987 - September 16, 1991
PRUCO SECURITIES, LLC.
April 28, 1986 - February 11, 2004
MML INVESTORS SERVICES, LLC
April 2, 1984 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
RESOURCE HORIZONS GROUP LLC
CRD#: 104368 / SEC#: , 8-52830
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
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