William E. Roosenberg
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.
William Edwin Roosenberg, who also goes by Bill Roosenberg, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1993. William had worked at 9 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2011 - September 3, 2013
EVERLAKE DISTRIBUTORS, LLC
May 2, 2005 - September 19, 2011
ALFS, INC.
January 1, 2004 - January 7, 2005
VOYA FINANCIAL ADVISORS, INC.
September 30, 2003 - January 1, 2004
LOCUST STREET SECURITIES, INC.
December 6, 2001 - September 30, 2003
ALLEGHENY INVESTMENTS, LTD.
January 5, 2000 - November 29, 2001
INVESTORS CAPITAL CORP.
May 22, 1998 - December 31, 1999
ALLSTATE FINANCIAL SERVICES, LLC
March 22, 1994 - May 18, 1998
AFD, INC.
April 13, 1993 - March 18, 1994
NATIONAL PLANNING CORPORATION
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
EVERLAKE DISTRIBUTORS, LLC
CRD#: 100460 / SEC#: , 8-52029
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVERLAKE LIFE INSURANCE COMPANY | PARENT OF BROKER/DEALER | |
| FONTANA, ANGELA KAY | MANAGER | 6503740 |
| HARRIGAN, JULIE ANN | TREASURER, CONTROLLER AND FINOP | 7159150 |
| JENESKE, PATRICK JOSEPH | CHIEF COMPLIANCE OFFICER | 4293015 |
| KENNEDY, REBECCA DIANE | PRESIDENT AND MANAGER | 7364296 |
| KIRCHHOFF, THERESE MARIE | AML OFFICER | 4548686 |
| LARGEY, TYLER EARL BAXTER | CHAIRMAN OF THE BOARD AND MANAGER | 7470407 |
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.
