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AR

Arthur Rosenberg

Some features on this profile are disabled
CRD#: 404338
AR

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.

Arthur Rosenberg was a registered financial professional .

Arthur is a previously registered financial professional and started their career in finance in 1970. Arthur had worked at 4 firms and has passed the Series 65, Series 63, SIE, PC and Series 1 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

December 24, 2019 - February 22, 2021

THE ARANDA GROUP ADVISORS, LLC

RIA
CRD#: 302100
JENKINTOWN, PA
Past

September 8, 2006 - November 5, 2019

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
JENKINTOWN, PA
Past

September 8, 2006 - November 5, 2019

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
JENKINTOWN, PA
Past

December 13, 2002 - August 22, 2006

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
JENKINTOWN, PA
Past

April 27, 1985 - August 22, 2006

MORGAN STANLEY DW INC.

BD
CRD#: 7556
JENKINTOWN, PA
Past

January 9, 1970 - February 24, 1978

REYNOLDS SECURITIES, INC.

BD
CRD#: 712

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".
TA
THE ARANDA GROUP ADVISORS, LLC
ROSE GROUP, LLC | THE ARANDA GROUP ADVISORS, LLC | THE ARANDA GROUP

CRD#: 302100 / SEC#: 801-117280

RIA
Registered Investment Advisory firm - (8/30/2019 Approved)

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
IAR
Series 65
Date: 12/2/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/12/1986
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
PC
Date: 4/1/1977
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 6/17/1963
Registered Representative Examination

Current Firm

TA
THE ARANDA GROUP ADVISORS, LLC
ROSE GROUP, LLC | THE ARANDA GROUP ADVISORS, LLC | THE ARANDA GROUP

CRD#: 302100 / SEC#: 801-117280

RIA
Registered Investment Advisory firm - (8/30/2019 Approved)
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Contact information

Main Address
724 Old York Road, Jenkintown, PA 19046
Mailing Address
Phone number
(215) 576-6666
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (5 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (1/31/2025)

Regulatory assets under management

Total Number of Accounts423
AUM (Assets Under Management)$ 221,668,991

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
11/05/2025
Cover Page
Report
10/08/2024
Cover Page
Report
12/21/2023
Cover Page
Report
03/16/2023
Cover Page
Report

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

THE ARANDA GROUP ADVISORS, LLC

CRD#: 302100

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