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SR

Steve Rosenberg

SRT SECURITIES LLC
Chicago , IL
Some features on this profile are disabled
CRD#: 4034401
SR

Professional summary

Steve Rosenberg, who also goes by Steven Michael Rosenberg, is a registered financial professional currently at SRT SECURITIES LLC located in Chicago , Illinois.

Steve is registered as a RR (Registered Representative) and started their career in finance in 2012. Steve has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 7A exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steven Michael 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) - BD

Click below to view Steve 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

November 1, 2022 - Present

SRT SECURITIES LLC

BD
CRD#: 33725
Chicago , IL
Past

January 5, 2021 - September 30, 2022

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
Chicao, IL
Past

December 20, 2012 - March 16, 2020

FCF SECURITIES AND DERIVATIVES LLC

BD
CRD#: 157067
CHICAGO, IL

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
(11/1/2022)
RR
New York
(11/1/2022)
RR
Texas
(11/1/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 6/24/2021
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 7
Date: 12/19/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 7A
Date: 4/25/1997
Floor Broker Representative Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Texas, Inc.

Current Firm

SS
SRT SECURITIES LLC
ISRAEL A. ENGLANDER & CO., INC. | SRT SECURITIES LLC | ISRAEL A. ENGLANDER & CO., LLC

CRD#: 33725 / SEC#: , 8-34415

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

Main Address
416 Hawthorne Street, Birmingham, MI 48009
Mailing Address
416 Hawthorne Street, Birmingham, MI 48009
Phone number
(917) 282-4757
Established
Delaware since 05/24/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SRT SECURITIES INC.MEMBER
FRUCHTER, MICHAEL ALANCFO/FINANCIAL & OPERATIONS PRINCIPAL4202965
TOBIAS, STEPHEN RORYPRESIDENT, CCO, S.R.O.P. & C.R.O.P.1267337

Disclosures

Regulatory Event24

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

SRT SECURITIES LLC

CRD#: 33725Chicago , IL

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