Roberta S. 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.
Roberta Sue Rosenberg, who also goes by Roberta Sue Covan, Robbie Rosenberg, was a registered financial professional .
Roberta is a previously registered financial professional and started their career in finance in 1986. Roberta had worked at 2 firms and has passed the Series 66 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
January 19, 2010 - February 12, 2013
SAGENT WEALTH MANAGEMENT
July 11, 2005 - January 8, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 19, 1986 - January 8, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
SAGENT WEALTH MANAGEMENT
CRD#: 147890 / SEC#: 801-69446
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
SAGENT WEALTH MANAGEMENT
CRD#: 147890 / SEC#: 801-69446
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 224 |
| AUM (Assets Under Management) | $ 93,860,608 |
Red Flags
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