Craig A. Rosenberg

J. W. COLE ADVISORS

Traverse City, MI

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CRD#: 1589322

Professional summary

Craig Anthony Rosenberg is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Traverse City, Michigan and J.W. COLE FINANCIAL, INC. located in Traverse City, Michigan.

Craig is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Craig has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) PENINSULA CAPITAL MANAGEMENT LLC, 06/2016, INVESTMENT RELATED, TRAVERSE CITY, MI,0 HRS PER MONTH, 0 HRS DURING TRADING. OWNER, SUPPORT COMPANY/DBA (2) Grand Traverse Area Spartans--Local alumni club for Michigan State University. President of the board of directors. Volunteer organization--no compensation. 1-2 hours/month, zero hours during trading hours. (3) Peninsula Capital Management, LLC. Owner. Non-Public. Peninsula Capital Management, LLC (PCM) is my business structure to manage & run my office--ie pay bills, etc. I am the sole owner/member of Peninsula Capital Management LLC. PCM currently rents office space from Berner Ventures, LLC which is a sole member LLC owned by my wife. Berner Ventures LLC owns the building in which I have my office, and I provide maintenance & property management services for the building & tenants. Duties include office maintenance, cleaning, and tenant relations. Average amount of time spent per month is 6-8 hours, with 0-1 hour per month during normal trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Anthony Rosenberg's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 25, 2019 - Present

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

Traverse City, MI

Current

September 20, 2019 - Present

J.W. COLE FINANCIAL, INC.

CRD#: 124583

TRAVERSE CITY, MI

Past

February 20, 2018 - October 10, 2019

SB ADVISORY, LLC

RIA

CRD#: 154680

Traverse City, MI

Past

February 20, 2018 - October 10, 2019

IFS SECURITIES

CRD#: 40375

ATLANTA, GA

Past

June 6, 2016 - February 22, 2018

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

TRAVERSE CITY, MI

Past

May 26, 2016 - February 22, 2018

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

TRAVERSE CITY, MI

Past

April 30, 2010 - June 17, 2016

MORGAN STANLEY

RIA

CRD#: 149777

TRAVERSE CITY, MI

Past

April 30, 2010 - June 17, 2016

MORGAN STANLEY

CRD#: 149777

TRAVERSE CITY, MI

Past

August 25, 2006 - May 3, 2010

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

TRAVERSE CITY, MI

Past

August 25, 2006 - May 3, 2010

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

TRAVERSE CITY, MI

Past

July 14, 2004 - August 28, 2006

LPL FINANCIAL LLC

RIA

CRD#: 6413

TRAVERSE CITY, MI

Past

August 11, 2000 - August 28, 2006

LPL FINANCIAL LLC

CRD#: 6413

TRAVERSE CITY, MI

Past

February 2, 1993 - August 11, 2000

SCHNEIDER SECURITIES, INC.

CRD#: 16434

DENVER, CO

Past

October 31, 1989 - February 1, 1993

AMERICAN FRONTEER FINANCIAL CORPORATION

CRD#: 1398

DENVER, CO

Past

December 26, 1986 - November 8, 1989

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

DENVER, CO

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".

J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA

Registered Investment Advisory firm - (11/23/2001 Approved)

Arizona

Registered Investment Advisory firm - (12/4/2001 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2001 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Florida
(9/20/2019)

Georgia
(9/23/2019)

Iowa
(9/20/2019)

Michigan
(9/20/2019)

IAR

Michigan
(9/25/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/9/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/29/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 10/28/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/20/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 10/14/1993

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/5/1989

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA

Registered Investment Advisory firm - (11/23/2001 Approved)

Arizona

Registered Investment Advisory firm - (12/4/2001 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2001 Terminated)

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Contact information

Main Address

4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634

Mailing Address

Phone number

(813) 935-6776

Established

Firm type

Fiscal year end

# of Employees

512

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM (3/28/2025)

JWCA 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	29,614
AUM (Assets Under Management)	$ 7,195,237,282

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.

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Advisor Monitoring

Firm Stability Insights

Craig A. Rosenberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Anthony Rosenberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

SB ADVISORY, LLC

IFS SECURITIES

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

MORGAN STANLEY

MORGAN STANLEY

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

LPL FINANCIAL LLC

LPL FINANCIAL LLC

SCHNEIDER SECURITIES, INC.

AMERICAN FRONTEER FINANCIAL CORPORATION

THE STUART-JAMES COMPANY, INCORPORATED

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/9/1999

Series 63

Date: 1/29/1987

SIE

Date: 10/1/2018

Series 31

Date: 10/28/2004

Series 7

Date: 12/20/1986

Series 4

Date: 10/14/1993

Series 24

Date: 1/5/1989

FINRA

Current Firm

J. W. COLE ADVISORS, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

J. W. COLE ADVISORS, INC.

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