Ronald S. 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.
Ronald Scott Rosenberg was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1991. Ronald had worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 55, Series 7, Series 53, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2011 - November 16, 2015
NORFOLK MARKETS, LLC
May 20, 2009 - February 18, 2011
WEEDEN & CO.L.P.
February 4, 2009 - May 8, 2009
MATRIX CAPITAL GROUP, INC.
May 11, 2004 - January 3, 2005
ONECAPITAL SECURITIES, LLC
November 28, 2000 - February 27, 2001
FAM DISTRIBUTORS, INC.
August 23, 1995 - August 3, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 1991 - July 28, 1995
JPMSI
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
Series 55
Date: 6/15/2010
Limited Representative-Equity Trader ExamSeries 8
Date: 5/25/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NORFOLK MARKETS, LLC
CRD#: 103797 / SEC#: , 8-52306
Contact information
FINRA licenses (1 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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