William B. 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.
William Bruce Rosenberg was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1989. William had worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2018 - February 15, 2023
LAZARD ASSET MANAGEMENT SECURITIES LLC
October 2, 2015 - November 17, 2017
CDX ADVISORS
April 15, 2005 - June 6, 2016
FM PARTNERS HOLDINGS LLC
December 9, 1997 - May 10, 2005
LAZARD FRERES & CO. LLC
December 11, 1996 - September 8, 1997
INSTITUTIONAL DIRECT INC.
July 25, 1996 - September 8, 1997
J.P. MORGAN CLEARING CORP.
July 25, 1996 - September 8, 1997
J.P. MORGAN SECURITIES LLC
November 27, 1989 - April 26, 1996
OSCAR GRUSS & SON INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
LAZARD ASSET MANAGEMENT SECURITIES LLC
CRD#: 129119 / SEC#: , 8-66201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Red Flags
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