Larry W. Rosenberger
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.
Larry Wayne Rosenberger JR was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1986. Larry had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2011 - May 5, 2017
USAA FINANCIAL PLANNING SERVICES
July 21, 2011 - May 5, 2017
USAA FINANCIAL ADVISORS, INC.
October 23, 2009 - March 22, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - March 22, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 10, 2000 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 28, 1999 - July 12, 1999
BA INVESTMENT SERVICES, INC.
January 1, 1998 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 25, 1995 - January 1, 1998
NATIONSSECURITIES
June 7, 1993 - January 1, 1998
NATIONSSECURITIES
December 26, 1986 - June 7, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
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
USAA FINANCIAL PLANNING SERVICES
CRD#: 106352 / SEC#: 801-53347
Contact information
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.
