SR
Sheldon H. Rosenberg
CETERA INVESTMENT ADVISERS LLC
LAS VEGAS, NV 89117
Some features on this profile are disabled
CRD#: 1588491
SR
Professional summary
Sheldon Harold Rosenberg, CFP®, who also goes by Sheldon H Rosenberg, Sheldon Rosenberg, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Las Vegas, Nevada and CETERA WEALTH SERVICES, LLC located in Carson City, Nevada.
Sheldon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Sheldon has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sheldon H Rosenberg | Sheldon 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) DEFINING YOUR WEALTH FINANCIAL GROUP LLC. POSITION: assistant NATURE: Financial Planning estate planning tax planning INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/04/2022 ADDRESS: 11016 Mission Lakes Ave, Las Vegas NV 89134, United States DESCRIPTION: contact clients as necessary select investments financial and tax retirement planning 2) SHELDON H ROSENBERG CPA CFP POSITION: owner NATURE: CPA Firm tax preparation and tax planning for individuals, partnerships corporations non profit employee benefit and estates INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2021 ADDRESS: 11016 Mission Lakes Ave, las Vegas NV 89134, United States DESCRIPTION: tax preparations individuals and businesses tax planning contact meeting with IRS as concerns tax issues with clients 3)ROBERT WEBSTER DEFINING YOUR WEALTH LLC POSITION: staff member NATURE: assist in clients servicing INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2021 ADDRESS: 625 Fairview Dr, Ste #121, Carson City NV 89701, United States DESCRIPTION: clients concerns and investment s assistance
CRS (Client Relationship Summary) - RIA
Click below to view Sheldon Harold Rosenberg's 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®
CFP®
Start date: 1992
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 7040 Laredo Street Suite B, Las Vegas, NV 89117RIA
CRD#: 105644
LAS VEGAS, NV
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 625 Fairview Dr Ste #121, Carson City, NV 89701BD
CRD#: 13572
Carson City, NV
Past
May 13, 2022 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Las Vegas, NV
Past
May 10, 2022 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Carson City, NV
Past
June 26, 2006 - December 31, 2021
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
LAS VEGAS, NV
Past
October 19, 1998 - December 31, 2021
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
LAS VEGAS, NV
Past
July 14, 1995 - October 23, 1998
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
January 30, 1995 - July 11, 1995
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
DALLAS, TX
Past
December 11, 1986 - December 16, 1994
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
California(9/5/2025)
RR
Florida(9/5/2025)
RR
Nevada(9/5/2025)
IAR
Nevada(9/5/2025)
RR
Ohio(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
