Kenneth G. Rosenbach
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.
Kenneth G Rosenbach was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1984. Kenneth had worked at 3 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2011 - November 10, 2022
KING MUIR FUND ADVISORS, LLC
February 13, 1998 - May 25, 2006
UBS FINANCIAL SERVICES INC.
February 2, 1996 - May 25, 2006
UBS FINANCIAL SERVICES INC.
September 24, 1984 - February 22, 1996
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
KING MUIR FUND ADVISORS, LLC
CRD#: 158960 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 1,775,972 |
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.
