JR
Jacob R. Rosenberg
JOSEPH GUNNAR & CO. LLC
New York, NY 10005
Some features on this profile are disabled
CRD#: 2908851
JR
Professional summary
Jacob Robert Rosenberg, who also goes by Jake Rosenberg, is a registered financial professional currently at JOSEPH GUNNAR & CO. LLC located in New York, New York.
Jacob is registered as a RR (Registered Representative) and started their career in finance in 1997. Jacob has worked at 14 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jake 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.
CRS (Client Relationship Summary) - BD
Click below to view Jacob Robert Rosenberg's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 26, 2024 - Present
JOSEPH GUNNAR & CO. LLC
Office #1: 40 Wall Street Suite 3004, New York, NY 10005Office #2: 1000 Rxr Plaza East Tower, Uniondale, NY 11556RIA
BD
CRD#: 24795
New York, NY
Past
August 16, 2016 - March 21, 2024
AEGIS CAPITAL CORP.
BD
CRD#: 15007
NEW YORK, NY
Past
January 7, 2015 - November 4, 2015
MIDAMERICA FINANCIAL SERVICES, INC.
BD
CRD#: 47351
Melville, NY
Past
June 18, 2014 - September 15, 2014
GLOBAL ARENA CAPITAL CORP
BD
CRD#: 16871
MELVILLE, NY
Past
October 12, 2011 - June 19, 2014
BROOKVILLE CAPITAL PARTNERS
BD
CRD#: 102380
UNIONDALE, NY
Past
August 24, 2011 - October 19, 2011
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
MELVILLE, NY
Past
September 24, 2008 - September 18, 2009
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
ROSLYN, NY
Past
August 27, 2007 - September 29, 2008
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
FREEPORT, NY
Past
January 4, 2006 - May 14, 2007
WESTROCK ADVISORS, INC.
BD
CRD#: 114338
NEW YORK, NY
Past
August 27, 2003 - December 31, 2005
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
STATEN ISLAND, NY
Past
June 24, 2002 - September 12, 2003
BENCHMARK SECURITIES GROUP, INC.
BD
CRD#: 103760
OKLAHOMA CITY, OK
Past
June 27, 2001 - June 25, 2002
MARQUIS FINANCIAL SERVICES, INC.
BD
CRD#: 20733
TARZANA, CA
Past
July 13, 1999 - May 18, 2001
BENSON YORK GROUP, INC.
BD
CRD#: 40231
MELVILLE, NY
Past
August 18, 1997 - August 25, 1999
JOSEPH DILLON & COMPANY INC.
BD
CRD#: 35220
GREAT NECK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
JG
JOSEPH GUNNAR & CO. LLC
AMERICAN PRIDE WEALTH MANAGEMENT GROUP | LELLOS WEALTH MANAGEMENT | JOSEPH GUNNAR & CO., LLC | JOSEPH GUNNAR & CO. LLC | EAST END SECURITIES, INC.
CRD#: 24795 / SEC#: 801-121064, 8-41386
RIA
Registered Investment Advisory firm - SEC (5/4/2021 Approved)California
Registered Investment Advisory firm - SEC (8/5/2021 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)Louisiana
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/22/2021 Terminated)New York
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/20/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Massachusetts(7/22/2024)
RR
New York(2/26/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
JG
JOSEPH GUNNAR & CO. LLC
AMERICAN PRIDE WEALTH MANAGEMENT GROUP | LELLOS WEALTH MANAGEMENT | JOSEPH GUNNAR & CO., LLC | JOSEPH GUNNAR & CO. LLC | EAST END SECURITIES, INC.
CRD#: 24795 / SEC#: 801-121064, 8-41386
RIA
Registered Investment Advisory firm - SEC (5/4/2021 Approved)California
Registered Investment Advisory firm - SEC (8/5/2021 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)Louisiana
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/22/2021 Terminated)New York
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/20/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information
Main Address
1000 Rxr Plaza 10th Floor, Uniondale, NY 11556
Mailing Address
1000 Rxr Plaza, Uniondale, NY 11556
Phone number
(212) 440-9600
Established
Delaware since 08/07/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
50
SEC notice filing (9 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 68 |
| AUM (Assets Under Management) | $ 33,967,899 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 13 |
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.
