Gregg A. Rosenbaum
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.
Gregg Adam Rosenbaum was a registered financial professional .
Gregg is a previously registered financial professional and started their career in finance in 1992. Gregg had worked at 5 firms and has passed the Series 63, Series 7 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
January 12, 1998 - February 6, 2001
CARNEGIE INVESTOR SERVICES INC.
November 10, 1995 - December 18, 1997
MEYERS POLLOCK ROBBINS, INC.
March 24, 1994 - December 1, 1995
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 15, 1993 - April 8, 1994
WESTFIELD FINANCIAL CORPORATION
May 13, 1992 - July 2, 1993
STRATTON OAKMONT 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
CARNEGIE INVESTOR SERVICES INC.
CRD#: 8295 / SEC#: , 8-24965
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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