Edward J. 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.
Edward John Rosenberg, who also goes by Edward John Rosenburg, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1988. Edward had worked at 12 firms and has passed the Series 63, Series 7, Series 6 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
April 12, 2012 - June 17, 2013
WALNUT STREET SECURITIES, INC.
April 17, 2008 - April 6, 2010
PRUCO SECURITIES, LLC.
April 17, 2008 - April 6, 2010
PRUCO SECURITIES, LLC.
March 23, 2007 - April 11, 2008
CHASE INVESTMENT SERVICES CORP.
March 23, 2007 - April 11, 2008
CHASE INVESTMENT SERVICES CORP.
March 1, 2007 - March 23, 2007
EQUITABLE ADVISORS, LLC
May 8, 2006 - February 28, 2007
PACKERLAND BROKERAGE SERVICES, INC.
April 18, 2006 - May 4, 2006
CUNA BROKERAGE SERVICES, INC.
January 2, 2004 - March 21, 2006
INVESTMENT CENTERS OF AMERICA, INC.
July 31, 2003 - January 9, 2004
ASSOCIATED INVESTMENT SERVICES, INC.
October 25, 2000 - June 20, 2003
ESSEX NATIONAL SECURITIES, LLC
May 15, 1998 - October 11, 2000
PRINCIPAL FUNDS DISTRIBUTOR, INC.
January 29, 1996 - February 20, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
March 2, 1988 - January 30, 1996
FIRSTAR 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
WALNUT STREET SECURITIES, INC.
CRD#: 15840 / SEC#: 801-62161, 8-32772
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| METLIFE, INC. | DIRECT OWNER | |
| AQUINO, VIRGELAN ERNESTO | CHIEF COMPLIANCE OFFICER, BROKER DEALER | 2976229 |
| CARRIER, ANDRE THEODORE | CHIEF OPERATIONS OFFICER | 2257728 |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| DWYER, JAMES | VICE PRESIDENT, LICENSING AND REGISTRATION | |
| FORGET, ELIZABETH MARY | DIRECTOR | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| MARKHAM, CRAIG WILLIAM | PRESIDENT AND DIRECTOR | 1383638 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | 2210722 |
| TORRES, ISAAC | SECRETARY |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
