Robert D. Rosenberg
Professional summary
Robert Diedrich Rosenberg, who also goes by Bob Rosenberg, Robert Deitrich Rosenberg, Robert Dietrich Rosenberg, is a registered financial professional currently at NORTHERN TRUST SECURITIES, INC. located in Philadelphia, Pennsylvania.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1987. Robert has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Diedrich Rosenberg's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 25, 2024 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 2001 Market Street Suite 1120, Philadelphia, PA 19103March 28, 2017 - July 24, 2023
CITI PRIVATE ALTERNATIVES, LLC
August 2, 2011 - July 24, 2023
CITIGROUP GLOBAL MARKETS INC.
April 12, 2011 - July 24, 2023
CITIGROUP GLOBAL MARKETS INC.
August 30, 2004 - April 1, 2011
WILMINGTON BROKERAGE SERVICES COMPANY
March 19, 2002 - January 21, 2004
QUASAR DISTRIBUTORS, LLC
September 29, 1999 - April 4, 2001
WILMINGTON BROKERAGE SERVICES COMPANY
September 18, 1997 - August 13, 1998
WHARTON EQUITY CORPORATION
March 31, 1992 - April 22, 1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 31, 1992 - April 22, 1996
EQUITABLE ADVISORS, LLC
February 22, 1988 - March 12, 1988
TOWER SQUARE SECURITIES, INC.
February 4, 1988 - April 3, 1992
COORDINATED CAPITAL SECURITIES, INC.
March 6, 1987 - February 5, 1988
IRG SECURITIES, INC.
Primary Firm SEC Registration
NORTHERN TRUST SECURITIES, INC.
CRD#: 7927 / SEC#: 801-80781, 8-23689
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/25/2024)
(7/25/2024)
(7/25/2024)
(1/2/2025)
(7/25/2024)
(7/29/2024)
(7/25/2024)
(7/25/2024)
(7/29/2024)
(7/25/2024)
(7/25/2024)
(7/25/2024)
Exams
FINRA
Current Firm
NORTHERN TRUST SECURITIES, INC.
CRD#: 7927 / SEC#: 801-80781, 8-23689
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NORTHERN TRUST CORPORATION | SHAREHOLDER | |
| BLOWERS, DAVID CHARLES | DIRECTOR | 4377133 |
| BURNS, RYAN DOUGLAS | DIRECTOR | 7427168 |
| CARBERRY, CRAIG RICHARD | SECRETARY | 2075889 |
| CHAPPELL, DARLENE | MLRO (ANTI-MONEY LAUNDERING OFFICER) | 8158928 |
| CHERRY, JON VINCENT | DIRECTOR | 4255568 |
| CHERRY, JON VINCENT | PRESIDENT | 4255568 |
| DEVITA, DINO ANTHONY | DIRECTOR | 3022063 |
| PECCATIELLO, ANTHONY JOSEPH | CHIEF FINANCIAL OFFICER | 5716365 |
| PECCATIELLO, ANTHONY JOSEPH | CHIEF OPERATIONS OFFICER | 5716365 |
| PICKETT, MELANIE ZAIRIS | DIRECTOR | 3256748 |
| THOMAS, SUNITHA CHERIAN | DIRECTOR | 7881171 |
| THORNTON, MITCHELL BLAIR | DIRECTOR | 2515299 |
| WILLIAMS, AMANDA TAWNEY | CHIEF COMPLIANCE OFFICER | 4195897 |
Regulatory assets under management
| Total Number of Accounts | 2,283 |
| AUM (Assets Under Management) | $ 1,276,929,981 |
Disclosures
| Regulatory Event | 8 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2025 | ||
| 09/25/2024 | ||
| 08/23/2023 |
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.
