Douglas J. Rosenberg
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.
Douglas Jarrett Rosenberg, who also goes by Douglas Rosenberg, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 2000. Douglas had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2013 - January 11, 2023
JOSEPH STONE CAPITAL L.L.C.
January 22, 2008 - December 13, 2013
FIRST MIDWEST SECURITIES, INC.
February 6, 2006 - January 22, 2008
NEWBRIDGE SECURITIES CORPORATION
January 4, 2005 - February 6, 2006
SECURITIES SERVICE NETWORK, LLC
January 22, 2002 - December 31, 2004
CANTELLA & CO., INC.
January 16, 2001 - February 19, 2002
WOODSTOCK FINANCIAL GROUP, INC.
January 6, 2000 - December 22, 2000
LADENBURG CAPITAL MANAGEMENT INC.
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
JOSEPH STONE CAPITAL L.L.C.
CRD#: 159744 / SEC#: , 8-69014
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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