Sammy 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.
Sammy Rosenberg, who also goes by Sam Rosenberg, Samuel Rosenberg, was a registered financial professional .
Sammy is a previously registered financial professional and started their career in finance in 1984. Sammy had worked at 6 firms and has passed the Series 63, SIE, 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
November 25, 2009 - December 31, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 6, 2008 - December 7, 2009
AVANTAX INVESTMENT SERVICES, INC.
July 14, 2004 - February 22, 2008
LPL FINANCIAL LLC
December 7, 2000 - June 23, 2004
WS GRIFFITH SECURITIES, INC.
January 20, 1993 - November 30, 1999
AVANTAX INVESTMENT SERVICES, INC.
December 16, 1989 - July 6, 1992
LPL FINANCIAL LLC
January 15, 1987 - December 16, 1989
LINSCO FINANCIAL GROUP, INC.
December 3, 1984 - January 15, 1987
RADFORD CAPITAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
