Joseph B. Rosenberg

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CRD#: 1639443

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.

Joseph Bernard Rosenberg was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1987. Joseph had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

AS OF 05/04/2012 I AM AN EMPLOYEE/REGISTERED INVESTMENT ADVISOR REPRESENTATIVE OF LANTERN WEALTH ADVISORS, LLC WHICH IS AN AFFILIATED ENTITY TO LANTERN INVESTMENTS LOCATED AT 35 PINELAWN ROAD MELVILLE, NY. I DEVOTE APPROXIMATELY 5 HOURS/WEEK IN THIS CAPACITY, MOST OF WHICH ARE DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 7, 2012 - May 12, 2025

LANTERN WEALTH ADVISORS, LLC

RIA

CRD#: 147420

MELVILLE, NY

Past

May 4, 2012 - May 12, 2025

HEROLD & LANTERN INVESTMENTS, INC.

CRD#: 30996

WESTBURY, NY

Past

July 10, 2007 - May 7, 2012

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

GARDEN CITY, NY

Past

July 10, 2007 - May 7, 2012

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

GARDEN CITY, NY

Past

April 6, 2006 - July 10, 2007

RYAN BECK & CO.

RIA

CRD#: 3248

HEWLETT, NY

Past

April 4, 2005 - July 10, 2007

RYAN BECK & CO.

CRD#: 3248

HEWLETT, NY

Past

August 5, 2003 - April 18, 2005

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

November 23, 1988 - August 11, 2003

KIRLIN SECURITIES INC.

CRD#: 21210

SYOSSET, NY

Past

October 21, 1988 - November 14, 1988

KIRLIN SECURITIES INC.

CRD#: 21210

Past

May 4, 1987 - October 24, 1988

A. F. GREEN & COMPANY, INC.

CRD#: 7310

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".

LANTERN WEALTH ADVISORS, LLC

LANTERN ADVISERS LLC | LANTERN WEALTH ADVISORS, LLC

CRD#: 147420 / SEC#: 801-79035

RIA

Registered Investment Advisory firm - (1/15/2014 Approved)

California

Registered Investment Advisory firm - (2/16/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (2/10/2014 Terminated)

New York

Registered Investment Advisory firm - (1/17/2014 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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/1/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/10/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/17/1987

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 5/22/1987

Municipal Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/1/1987

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LANTERN WEALTH ADVISORS, LLC

LANTERN ADVISERS LLC | LANTERN WEALTH ADVISORS, LLC

CRD#: 147420 / SEC#: 801-79035

RIA

Registered Investment Advisory firm - (1/15/2014 Approved)

California

Registered Investment Advisory firm - (2/16/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (2/10/2014 Terminated)

New York

Registered Investment Advisory firm - (1/17/2014 Terminated)

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Contact information

Main Address

35 Pinelawn Road Suite 101e, Melville, NY 11747

Mailing Address

Phone number

(631) 454-2000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LANTERN WEALTH ADVISORS APPENDIX 1 - WRAP BROCHURE (3/31/2025)

ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	379
AUM (Assets Under Management)	$ 265,466,991

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

Joseph B. Rosenberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HEROLD & LANTERN INVESTMENTS, INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RYAN BECK & CO.

RYAN BECK & CO.

OPPENHEIMER & CO. INC.

KIRLIN SECURITIES INC.

KIRLIN SECURITIES INC.

A. F. GREEN & COMPANY, INC.

Primary Firm SEC Registration

LANTERN WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/1/1999

Series 63

Date: 4/10/1987

SIE

Date: 10/1/2018

Series 7

Date: 8/17/1987

Series 52

Date: 5/22/1987

Series 6

Date: 5/1/1987

Current Firm

LANTERN WEALTH ADVISORS, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LANTERN WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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