Marc L. 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.
Marc Lawrence Rosenberg, who also goes by Mark Rose, was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1987. Marc had worked at 8 firms and has passed the Series 63, Series 3, Series 7 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
May 8, 1990 - April 19, 1991
PRUDENTIAL EQUITY GROUP, LLC
August 9, 1989 - April 24, 1990
RESOURCE MANAGEMENT ASSOCIATES, GSI
April 13, 1989 - July 11, 1989
TITAN/VALUE EQUITIES GROUP, INC.
December 12, 1988 - February 13, 1989
U.S. ASSOCIATES, INC.
March 9, 1988 - December 23, 1988
U.S. ASSOCIATES OF FLORIDA, INC.
February 5, 1988 - February 17, 1988
U.S. ASSOCIATES, INC.
July 22, 1987 - February 16, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
June 15, 1987 - September 10, 1987
MCG PORTFOLIO MANAGEMENT CORP.
April 29, 1987 - June 18, 1987
TMA GOVERNMENT SECURITIES, LTD.
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
PRUDENTIAL EQUITY GROUP, LLC
CRD#: 7471 / SEC#: , 8-27154
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRUDENTIAL SECURITIES GROUP INC.["PSGI"] PARENT OF PRUDENTIAL EQUITY GROUP, LLC | SHAREHOLDER DIRECT | |
| BAVARO, MARGUERITE ANNE | CHIEF OPERATIONS OFFICER | 722294 |
| DUGAN, MICHAEL JOSEPH | CHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATIVE OFFICER | 1604211 |
| RICE, JUDY ANN | MANAGER | 67215 |
| SHEA, MICHAEL JOSEPH | MANAGER, CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER | 1014613 |
| STRANGFELD, JOHN ROBERT JR | MANAGER & CHAIRMAN OF THE BOARD | 1301812 |
Disclosures
| Regulatory Event | 288 |
| Civil Event | 1 |
| Arbitration | 579 |
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.
