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SR

Sanford P. Rosenberg

AEG CAPITAL
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2936904
SR

Professional summary

Sanford Paul Rosenberg is a registered financial professional currently at AEG CAPITAL, LLC located in Chicago, Illinois.

Sanford is registered as a RR (Registered Representative) and started their career in finance in 1997. Sanford has worked at 4 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Sanford Paul 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®
None

Experience

Current

August 21, 2014 - Present

AEG CAPITAL, LLC

Office #1: 200 W. Madison Street, Suite 2410, Chicago, IL 60606
BD
CRD#: 168097
Chicago, IL
Past

April 4, 2007 - September 26, 2012

DRAKE STAR SECURITIES LLC

BD
CRD#: 131338
NEW YORK, NY
Past

November 5, 1998 - August 25, 2006

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

September 17, 1997 - November 5, 1998

CITICORP SECURITIES, INC.

BD
CRD#: 7474
NEW YORK, NY

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
Illinois
(8/21/2014)
RR
New York
(8/21/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 9/18/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/16/1997
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AC
AEG CAPITAL, LLC
AEG CAPITAL, LLC

CRD#: 168097 / SEC#: , 8-69292

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

Main Address
200 W. Madison Street, Suite 2410, Chicago, IL 60606
Mailing Address
200 W. Madison Street, Suite 2410, Chicago, IL 60606
Phone number
(312) 948-5600
Established
Illinois since 03/12/2013
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
AEG PARTNERS, LLCSOLE MEMBER
DEAN, CRAIG SPRESIDENT6219093
SADZEWICZ, GERY JOSEPHFINOP, CCO AND CFO1090963

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

AEG CAPITAL, LLC

CRD#: 168097Chicago, IL 60606

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