Eric K. Rosenberger
KESTRA ADVISORY SERVICES
Morristown, NJ 07960
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CRD#: 4636157
Professional summary
Eric Karl Rosenberger, CFP® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Morristown, New Jersey and KESTRA INVESTMENT SERVICES, LLC located in Morristown, New Jersey.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Eric has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Business Name: Family Wealth Planning, LLC. Investment Related: Yes Address: 89 Headquarters Plaza North, Suite 333 Morristown NJ 07960 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Director Start Date: 1/16/2018 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Financial Planner, interacting with prospective and current clients with all their wealth management needs. Business Name: Kestra Advisory Services. LLC Investment Related: Yes Address: 5707 Southwest Parkway, Bldg 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Rep Start Date: 1/17/2018 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Investment Advisor Rep Business Name: Smoke Rise Tennis Club Investment Related: No Address: 9 Perimeter Rd. Kinnelon NJ 07405 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: Board member - general Start Date: 1/1/2018 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Creating round robins, ladders, organizing and attending socials, etc. Business Name: Power of Zero Investment Related: No Address: 161 Madison Ave, Suite 200 Morristown NJ 07960 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name Position, Title or Relationship: one of the presenters or educators Start Date: 2/20/2020 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: presenting the material provided Business Name: Synthesis Wealth Planning, LLC Investment Related: Yes Address: 161 Madison Ave, Suite 200 Morristown NJ 07960 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name Position, Title or Relationship: managing member/partner Start Date: 6/1/2020 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: registered rep Business Name: TRUSTED AMERICAN POSITION: Indirect NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 201 Creekside Ridge Ct., Ste 200, Roseville CA 95678 DESCRIPTION: One of our employees is marketing medicare supplemental plans and sharing the revenue with our firm.
CRS (Client Relationship Summary) - RIA
Click below to view Eric Karl Rosenberger'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®
CFP®
Start date: 2011
Experience
Current
February 23, 2018 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 161 Madison Avenue, Morristown, NJ 07960RIA
CRD#: 283330
Morristown, NJ
Current
January 17, 2018 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 161 Madison Avenue Suite 200, Morristown, NJ 07960Office #2: 475 Park Avenue Suite 2100, New York, NY 10016Office #3: 130 Valley Rd, Montclair, NJ 07042BD
CRD#: 42046
Morristown, NJ
Past
January 27, 2004 - January 12, 2018
SUMMIT FINANCIAL RESOURCES INC
RIA
CRD#: 104990
PARSIPPANY, NJ
Past
January 27, 2004 - January 12, 2018
SUMMIT EQUITIES, INC.
RIA
CRD#: 11039
PARSIPPANY, NJ
Past
April 18, 2003 - January 12, 2018
SUMMIT EQUITIES, INC.
BD
CRD#: 11039
PARSIPPANY, NJ
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(8/2/2022)
RR
California(1/17/2018)
RR
Colorado(5/8/2018)
RR
Connecticut(1/11/2024)
RR
District of Columbia(2/13/2024)
RR
Florida(6/1/2018)
RR
Georgia(4/20/2018)
RR
Hawaii(2/15/2024)
RR
Indiana(5/7/2025)
RR
Maine(1/13/2025)
RR
Maryland(1/19/2024)
RR
Massachusetts(2/4/2022)
RR
Michigan(10/17/2022)
RR
Nevada(9/6/2023)
RR
New Hampshire(8/14/2024)
RR
New Jersey(2/23/2018)
IAR
New Jersey(2/23/2018)
RR
New Mexico(4/8/2021)
RR
New York(1/17/2018)
RR
North Carolina(3/9/2018)
RR
Pennsylvania(3/20/2018)
RR
South Carolina(3/27/2018)
RR
Texas(2/5/2021)
IAR
Texas(7/27/2023)
RR
Utah(11/13/2024)
RR
Vermont(4/22/2024)
RR
Virginia(1/12/2024)
RR
Wisconsin(3/12/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
