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Peter M. Rosenberg

Some features on this profile are disabled
CRD#: 2609986
PR

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.

Peter M Rosenberg, who also goes by Peter Mathew Rosenberg, was a registered financial professional .

Peter is a previously registered financial professional and started their career in finance in 1997. Peter had worked at 15 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Peter Mathew Rosenberg

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 4, 2020 - March 17, 2020

WEILD & CO.

BD
CRD#: 132398
BOULDER, CO
Past

September 30, 2015 - February 5, 2018

STONEHAVEN, LLC

BD
CRD#: 118913
NEW YORK, NY
Past

December 18, 2014 - September 29, 2015

MCINTYRE CAPITAL PARTNERS, LLC

BD
CRD#: 148521
NEW YORK, NY
Past

July 19, 2010 - May 20, 2013

WOLFE RESEARCH SECURITIES

BD
CRD#: 151850
NEW YORK, NY
Past

October 14, 2008 - December 18, 2008

KAUFMAN BROS., L.P.

BD
CRD#: 37909
NEW YORK, NY
Past

February 5, 2007 - September 18, 2008

SOUTHRIDGE INVESTMENT GROUP LLC

BD
CRD#: 45531
NEW YORK, NY
Past

July 6, 2006 - January 3, 2007

PERKINS FUND MARKETING, L.L.C.

BD
CRD#: 45642
SOUTHPORT, CT
Past

August 1, 2005 - December 19, 2005

FULCRUM GLOBAL PARTNERS LLC

BD
CRD#: 104455
NEW YORK, NY
Past

March 23, 2005 - July 13, 2005

CANACCORD GENUITY SECURITIES LLC

BD
CRD#: 24790
NEW YORK, NY
Past

June 22, 2004 - March 15, 2005

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN
Past

June 3, 2003 - June 16, 2004

WELLS FARGO SECURITIES, LLC

BD
CRD#: 7665
SAN FRANCISCO, CA
Past

September 5, 2002 - February 26, 2003

INVESTEC INC.

BD
CRD#: 18553
NEW YORK, NY
Past

April 24, 2001 - August 12, 2002

ROBERTSON STEPHENS, INC.

BD
CRD#: 41271
SAN FRANCISCO, CA
Past

August 10, 1998 - April 23, 2001

SOUNDVIEW TECHNOLOGY CORPORATION

BD
CRD#: 15425
OLD GREENWICH, CT
Past

November 3, 1997 - August 27, 1998

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/17/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/5/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/31/1997
General Securities Representative Examination

Current Firm

W&
WEILD & CO.
CMA PARTNERS, LLC | WEILD CAPITAL, LLC | WEILD & CO., LLC | WEILD & CO. | THE NATIONAL RESEARCH STANDARD, INC. | THE NATIONAL RESEARCH STANDARD | THE NATIONAL RESEARCH EXCHANGE | ISSUWORKS CAPITAL, LLC

CRD#: 132398 / SEC#: , 8-66593

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
777 29th Street Suite 402, Boulder, CO 80303
Mailing Address
777 29th Street Suite 402, Boulder, CO 80303
Phone number
(303) 223-9621
Established
New York since 10/22/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WEILD & CO., INC.SOLE MEMBER
ONESTO, RICHARD ERNESTFINOP2453096
WEILD, DAVID IVMEMBER, CHAIRMAN AND CEO1336395
WEILD, DAVID IVCHIEF COMPLIANCE OFFICER, AML PRINCIPAL1336395

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.

Company Information

WEILD & CO.

CRD#: 132398

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