AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SR

Samuel A. Rosenberg

Some features on this profile are disabled
CRD#: 2974773
SR

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.

Samuel Alexander Rosenberg was a registered financial professional .

Samuel is a previously registered financial professional and started their career in finance in 1998. Samuel had worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.

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)

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

June 13, 2017 - September 9, 2019

OLDEN LANE SECURITIES, LLC

BD
CRD#: 173847
BRIDGEWATER, NJ
Past

September 26, 2014 - February 10, 2017

NATIXIS SECURITIES AMERICAS LLC

BD
CRD#: 1101
NEW YORK, NY
Past

February 5, 2014 - July 3, 2014

NEWEDGE USA, LLC

BD
CRD#: 36118
NEW YORK, NY
Past

April 26, 2004 - February 6, 2014

SG AMERICAS SECURITIES, LLC

BD
CRD#: 128351
NEW YORK, NY
Past

February 20, 1998 - April 26, 2004

COWEN AND COMPANY

BD
CRD#: 7616
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: 4/17/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 8/15/2013
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 1/29/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/30/2002
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/20/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/20/2001
General Securities Sales Supervisor - Options Module Examination

Current Firm

OL
OLDEN LANE SECURITIES, LLC
OLDEN LANE SECURITIES, LLC

CRD#: 173847 / SEC#: , 8-69556

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
100 Somerset Corporate Blvd Suite 101-2nd Floor, Bridgewater, NJ 08807
Mailing Address
100 Somerset Corporate Blvd Suite 101-2nd Floor, Bridgewater, NJ 08807
Phone number
(908) 432-6819
Established
Delaware since 10/17/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
OLDEN LANE, INC.OWNER
DEPARTMENT OF COMMERCE FEDERAL CREDIT UNIONPREFERRED EQUITY OWNER (NOT A CONTROL PERSON)
CHUN, YUEN NAFINOP2219603
MACCHIAROLA, MICHAEL COLLINSCHIEF EXECUTIVE OFFICER4444494
MERLINO, NICHOLAS JOSEPHCHIEF COMPLIANCE OFFICER5730516

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

OLDEN LANE SECURITIES, LLC

CRD#: 173847

TRUST BUT VERIFY

Monitor Samuel Rosenberg

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.