Saul Aaron Rosenbaum
Professional Summary
Saul Aaron Rosenbaum, who also goes by Saul A Rosenbaum, was a registered financial advisor. Saul was a previously registered financial professional and started their career in finance 1990 - 2021. Saul had worked at 2 firms and has passed the Series 63, Series 7TO, SIE, Series 50, Series 7, Series 24 and Series 54 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Saul A Rosenbaum
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
36 years in the financial services industry
Current & Past Employments
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Current Firm
PRAGER & CO. | PRAGER, SEALY & CO., LLC | PRAGER, MCCARTHY & SEALY, LLC | PRAGER, MCCARTHY & SEALY | PRAGER, MCCARTHY & LEWIS | PRAGER & COMPANY, LLC | PRAGER & CO., LLC
Contact Information
Established
Delaware since 01/01/1999Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 50 — Municipal Advisor Representative Qualification Exam
Passed Aug 2017About the Series 50 examSeries 54 — Municipal Advisor Principal Qualification Examination
Passed May 2019About the Series 54 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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