Mark (. 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.
Mark (nmn) Rosenberg, who also goes by Mark - Rosenberg, Mark Rosenberg, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1969. Mark had worked at 11 firms and has passed the Series 63, Series 7TO, SIE, Series 1, Series 10, Series 24, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2022 - April 10, 2024
FORESIDE FUND SERVICES, LLC
April 27, 2018 - October 12, 2020
FORESIDE FUND SERVICES, LLC
January 2, 2015 - August 2, 2016
FORESIDE FUND SERVICES, LLC
August 20, 2001 - December 31, 2014
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
May 1, 1987 - August 20, 2001
RXR SECURITIES INC.
September 24, 1984 - August 20, 1986
PRUDENTIAL EQUITY GROUP, LLC
September 26, 1978 - August 6, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 7, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
January 20, 1978 - March 3, 1978
LOEB PARTNERS
February 24, 1977 - January 20, 1978
LOEB RHOADES & CO. INC.
December 9, 1975 - April 8, 1977
SHEARSON HAYDEN STONE INC.
July 23, 1973 - November 28, 1975
LOEB RHOADES & CO INC
July 23, 1969 - June 8, 1973
WEIS SECURITIES, 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 7/16/1969
Registered Representative ExaminationSeries 8
Date: 3/27/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Red Flags
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