Edward M. Rosenberg

CETERA INVESTMENT ADVISERS LLC

SARASOTA, FL 34239

Some features on this profile are disabled

CRD#: 1224716

Professional summary

Edward Martin Rosenberg, who also goes by Ed Rosenberg, Edward Rosenberg, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sarasota, Florida and CETERA WEALTH SERVICES, LLC located in Sarasota, Florida.

Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Edward has worked at 20 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ed Rosenberg | Edward Rosenberg

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.

(1) LEON KRIEGER TRUST; SINCE 01/10/2005; SAME AS BRANCH ADDRESS; SUCCESSOR TRUSTEE; handle trust account as manager and overseer of trust upon demise of Mr kreiger or his inability to act as his own trustee; 3-4 HOURS SPENT ON ACTIVITY PER MONTH, 1 HOUR SPENT ON ACTIVITY DURING TRADING HOURS (2) ROSENBERG ASSET MANAGEMENT; SINCE 04/12/2004; SAME AS BRANCH ADDRESS; OWNER; FINANCIAL ADVISOR; 160 HOURS SPENT ON ACTIVITY PER MONTH (3) LOMA LINDA HOSPITAL; SINCE 01/01/2006; ANDERSON ST., LOMA LINDA, CA, 92354; ADVISORY BOARD MEMBER; attend 2 meetings per year primarily related to fund raising; 1 HOUR SPENT ON ACTIVITY PER MONTH, 0 DURING TRADING HOURS (4) EMR LLC; SINCE 01/02/2004; SAME AS BRANCH ADDRESS; OWNER; llc to run payroll through to save on self employment taxes; 0 HOURS SPENT ON ACTIVITY PER MONTH (5) NAME OF OTHER BUSINESS: MISTY CREEK COUNTRY CLUB ; INVESTMENT RELATED: NO ; ADDRESS: 8654 MISTY CREEK DR, SARASOTA FL, 34241 ; NATURE OF BUSINESS: COUNTRY CLUB ; START DATE: 09/2013 ; POSITION/TITLE/RELATIONSHIP: BOARD OF DIRECTORS ; APX NUMBER OF HOURS PER WEEK: VARIES ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES ; BRIEF DESCRIPTION OF DUTIES: WORK ON IMPROVING / RUNNING ASPECTS OF COUNTRY CLUB ;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward Martin 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

June 2, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1219 S East Ave Ste C306, Sarasota, FL 34239

RIA

CRD#: 105644

SARASOTA, FL

Current

August 22, 2019 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1219 S East Ave Ste C306, Sarasota, FL 34239

CRD#: 13572

Sarasota, FL

Past

March 17, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

SARASOTA, FL

Past

April 3, 2013 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

SARASOTA, FL

Past

March 25, 2013 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

SARASOTA, FL

Past

December 14, 2011 - March 26, 2013

WADDELL & REED

CRD#: 866

ST. PETERSBURG, FL

Past

December 12, 2011 - March 26, 2013

WADDELL & REED

RIA

CRD#: 866

ST. PETERSBURG, FL

Past

October 1, 2009 - December 6, 2011

ROSENBERG ASSET MANAGEMENT

RIA

CRD#: 133000

SARASOTA, FL

Past

January 27, 2009 - July 15, 2010

JESUP & LAMONT SECURITIES CORP

CRD#: 39056

SARASOTA, FL

Past

December 12, 2005 - December 23, 2008

EMPIRE FINANCIAL GROUP, INC.

CRD#: 28759

SARASOTA, FL

Past

October 29, 2004 - December 31, 2008

ANGELOTTI/ROSENBERG ASSET MANAGEMENT

RIA

CRD#: 133000

SARASOTA , FL

Past

May 10, 2004 - September 26, 2005

STONEX SECURITIES INC.

CRD#: 18456

BIRMINGHAM, AL

Past

December 19, 2003 - September 22, 2004

GLOBAL FINANCIAL ASSET MANAGEMENT, LLC

RIA

CRD#: 127629

SARASOTA, FL

Past

September 29, 2003 - March 19, 2004

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

SARASOTA, FL

Past

September 23, 2003 - March 19, 2004

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

March 26, 1999 - September 24, 2003

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

SARASOTA, FL

Past

March 25, 1999 - September 24, 2003

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

November 21, 1994 - March 10, 1999

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

July 31, 1993 - November 11, 1994

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 31, 1992 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

November 13, 1989 - March 25, 1992

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

October 30, 1989 - November 13, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

December 8, 1987 - November 8, 1989

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

May 26, 1987 - November 19, 1987

FSC SECURITIES CORPORATION

CRD#: 7461

Past

March 31, 1986 - May 7, 1987

INVEST FINANCIAL CORPORATION

CRD#: 12984

Past

December 21, 1983 - February 7, 1985

CITIZENS FINANCIAL SECURITIES CORPORATION

CRD#: 10775

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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

Alabama
(1/6/2023)

Arizona
(9/20/2019)

California
(9/20/2019)

Connecticut
(1/19/2021)

District of Columbia
(9/20/2019)

Florida
(9/13/2019)

IAR

Florida
(6/2/2023)

Georgia
(9/20/2019)

Illinois
(9/20/2019)

Indiana
(9/20/2019)

Kentucky
(1/9/2023)

Maine
(9/20/2019)

Massachusetts
(1/14/2021)

Michigan
(9/20/2019)

New York
(9/20/2019)

North Carolina
(9/20/2019)

Ohio
(9/20/2019)

Pennsylvania
(9/20/2019)

Rhode Island
(9/20/2019)

South Carolina
(9/20/2019)

Virginia
(9/20/2019)

Wisconsin
(1/7/2021)

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: 8/31/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/9/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/9/1988

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/17/1983

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

Similar Advisors

Lea Smith Johnson

OSAIC WEALTH, INC.

IAR

Bradenton, FL

Adam Ausloos

ADVICEWORKS WEALTH ADVISORS

IAR

SARASOTA, FL

John Darby

GRAHAM CAPITAL WEALTH MANAGEMENT, LLC

IAR

SARASOTA, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Edward M. Rosenberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward Martin Rosenberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

WADDELL & REED

WADDELL & REED

ROSENBERG ASSET MANAGEMENT

JESUP & LAMONT SECURITIES CORP

EMPIRE FINANCIAL GROUP, INC.

ANGELOTTI/ROSENBERG ASSET MANAGEMENT

STONEX SECURITIES INC.

GLOBAL FINANCIAL ASSET MANAGEMENT, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

KIDDER, PEABODY & CO. INCORPORATED

FSC SECURITIES CORPORATION

INVEST FINANCIAL CORPORATION

CITIZENS FINANCIAL SECURITIES CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/31/1992

Series 63

Date: 5/9/1988

SIE

Date: 10/1/2018

Series 3

Date: 5/9/1988

Series 7

Date: 12/17/1983

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors