Gary W. 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.
Gary Wayne Rosenberg was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1993. Gary had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4, Series 9, Series 10 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
April 1, 2019 - December 20, 2024
STOEVER GLASS WEALTH MANAGEMENT, INC.
March 20, 2019 - December 20, 2024
STOEVER, GLASS & COMPANY INC.
December 12, 2012 - March 27, 2019
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 29, 2012 - March 27, 2019
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 22, 2010 - December 7, 2012
RBC CAPITAL MARKETS, LLC
October 9, 2009 - October 15, 2009
RBC CAPITAL MARKETS, LLC
October 9, 2009 - December 7, 2012
RBC CAPITAL MARKETS, LLC
July 29, 2005 - October 9, 2009
J. B. HANAUER & CO.
July 22, 2005 - October 9, 2009
J. B. HANAUER & CO.
February 5, 2002 - August 10, 2005
RAYMOND JAMES & ASSOCIATES, INC.
February 5, 2002 - August 10, 2005
RAYMOND JAMES & ASSOCIATES, INC.
November 24, 1993 - March 4, 2002
J. B. HANAUER & CO.
March 10, 1993 - November 19, 1993
REICH & CO., INC.
February 10, 1993 - February 23, 1993
A.J. MICHAELS & CO., LTD.
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 8
Date: 2/27/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STOEVER GLASS WEALTH MANAGEMENT, INC.
CRD#: 173091 / SEC#: 801-107810
Contact information
Regulatory assets under management
| Total Number of Accounts | 799 |
| AUM (Assets Under Management) | $ 247,877,954 |
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.
