Jeffrey 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.
Jeffrey Rosenberg, who also goes by Jeff Rosenberg, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1987. Jeffrey had worked at 20 firms and has passed the Series 63, SIE 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
March 7, 2014 - May 9, 2023
TRUIST SECURITIES, INC.
June 7, 2012 - February 26, 2014
STERNE, AGEE & LEACH, INC.
March 21, 2011 - September 15, 2011
PIERPONT CAPITAL ADVISORS LLC
April 15, 2008 - March 22, 2011
CANTOR FITZGERALD & CO.
November 24, 2003 - May 1, 2008
RAYMOND JAMES & ASSOCIATES, INC.
October 1, 2003 - December 2, 2003
LEGG MASON WOOD WALKER, INCORPORATED
June 20, 2000 - January 20, 2004
FHN FINANCIAL SECURITIES CORP.
March 2, 1998 - May 19, 2000
RBC CAPITAL MARKETS, LLC
September 17, 1997 - March 2, 1998
DAIN RAUSCHER INCORPORATED
June 4, 1996 - September 23, 1997
KEYBANC CAPITAL MARKETS INC.
May 27, 1994 - June 4, 1996
VINING-SPARKS IBG, LLC
January 24, 1994 - June 23, 1994
PRUDENTIAL EQUITY GROUP, LLC
January 1, 1991 - January 24, 1994
VINING-SPARKS IBG, LLC
October 24, 1990 - January 1, 1991
VINING-SPARKS SECURITIES, INC.
July 9, 1990 - October 31, 1990
KNIBBE FINANCIAL GROUP, INC.
August 1, 1988 - February 15, 1990
GSC SECURITIES, INC.
July 14, 1988 - July 25, 1988
GOVERNMENT SECURITIES CORPORATION
June 30, 1988 - May 11, 1989
MARCUS, STOWELL & BEYE, INC.
June 30, 1988 - May 11, 1989
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.
August 13, 1987 - June 28, 1988
MORTGAGE GOVERNMENT SECURITIES, INC.
February 26, 1987 - June 28, 1988
M.G.S.I. SECURITIES, 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
TRUIST SECURITIES, INC.
CRD#: 6271 / SEC#: , 8-17212
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 1 |
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.
