Fred 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.
Fred Rosenberg was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1972. Fred had worked at 12 firms and has passed the Series 63, Series 55 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2012 - January 2, 2014
PUMA CAPITAL, LLC
April 1, 2009 - July 19, 2010
RUSHMORE CAPITAL, INC.
April 8, 2002 - March 31, 2009
HILL THOMPSON MAGID & CO., INC.
February 5, 2001 - December 17, 2001
CHARLES SCHWAB & CO., INC.
August 28, 1997 - December 21, 2001
UBS CAPITAL MARKETS L.P.
June 25, 1993 - August 31, 2000
CHARLES SCHWAB & CO., INC.
December 5, 1990 - June 11, 1993
OPPENHEIMER & CO. INC.
August 23, 1982 - December 15, 1990
NEW YORK & FOREIGN SECURITIES CORPORATION
November 23, 1981 - August 10, 1982
EVANS & CO., INC.
March 31, 1980 - August 17, 1981
JOHN MUIR & CO.
April 19, 1977 - April 22, 1980
BALFOUR INVESTORS INC.
October 19, 1973 - July 3, 1974
JII SECURITIES INC.
January 3, 1972 - November 22, 1973
ANDRESEN & CO.
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
Series 55
Date: 4/26/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 12/30/1971
Registered Representative ExaminationCurrent Firm
PUMA CAPITAL, LLC
CRD#: 146744 / SEC#: , 8-67849
Contact information
FINRA licenses (15 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
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.
