Kevin A. 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.
Kevin Alan Rosenberg was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1988. Kevin had worked at 8 firms and has passed the Series 63, Series 3 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
August 11, 1992 - October 22, 1992
ASSET SECURITIES CORPORATION
May 2, 1991 - October 8, 1991
J. B. HANAUER & CO.
December 14, 1990 - March 28, 1991
H.J. MEYERS & CO., INC.
January 29, 1990 - July 19, 1990
JOSEPHTHAL & CO., INC.
November 28, 1989 - February 7, 1990
H.J. MEYERS & CO., INC.
December 6, 1988 - December 13, 1989
J F LOWE & COMPANY INCORPORATED
September 22, 1988 - December 13, 1988
GREENTREE SECURITIES CORP.
May 20, 1988 - October 7, 1988
MADISON CHAPIN ASSOCS., INC.
May 18, 1988 - June 6, 1988
EQUITIES INTERNATIONAL SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ASSET SECURITIES CORPORATION
CRD#: 20816 / SEC#: , 8-38444
Contact information
Documents
Red Flags
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