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AR

Aaron M. Rosenberg

Some features on this profile are disabled
CRD#: 4304781
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.

Aaron Michael Rosenberg was a registered financial professional .

Aaron is a previously registered financial professional and started their career in finance in 2000. Aaron had worked at 5 firms and has passed the Series 63, SIE and Series 6 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

June 7, 2021 - February 24, 2022

PEAK BROKERAGE SERVICES, LLC

BD
CRD#: 157045
JUPITER, FL
Past

December 18, 2017 - March 25, 2019

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
WAVERLY, IA
Past

June 2, 2014 - December 6, 2017

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
JERSEY CITY, NJ
Past

May 19, 2004 - May 27, 2014

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA
Past

November 15, 2000 - February 2, 2004

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD
CRD#: 8326
HARTFORD, CT

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
RR
Series 63
Date: 11/30/2000
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 6
Date: 11/14/2000
Investment Company Products/Variable Contracts Representative Examination

Current Firm

PB
PEAK BROKERAGE SERVICES, LLC
BLACKRIDGE ASSET MANAGEMENT, LLC | TOP ADVISORS GROUP | PEAK BROKERAGE SERVICES, LLC

CRD#: 157045 / SEC#: , 8-68829

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1070 East Indiantown Road Suite 208 - 210, Jupiter, FL 33477-9999
Mailing Address
1070 East Indiantown Road Suite 208 - 210, Jupiter, FL 33477-9999
Phone number
(561) 641-5050
Established
Georgia since 02/16/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PEAK REPS, LLCOWNER
COKER, KARENCHIEF RISK OFFICER2731928
MUELLER, CHRISTOPHER BRIANCHIEF OPERATIONS OFFICER2098597
PHILLIPS, DAVID LEVERTCHIEF INFORMATION SECURITY OFFICER2054858
REYNOLDS, MATTHEW MARKPRESIDENT/FINOP4077413
RUDNICK, REGINA MARYPRESIDENT/HEAD OF ADVISOR SERVICES2373530
TAYLOR, CHRISTIAN GABRIELCHIEF COMPLIANCE OFFICER5462381

Disclosures

Regulatory Event1

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

PEAK BROKERAGE SERVICES, LLC

CRD#: 157045

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