RR
Robert Rosenberg
CETERA INVESTMENT ADVISERS LLC
SARASOTA, FL 34239
Some features on this profile are disabled
CRD#: 4832723
RR
Professional summary
Robert Rosenberg, who also goes by Bobby Rosenberg, Robert D. Rosenberg, Robert Douglas Rosenberg, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sarasota, Florida and CETERA WEALTH SERVICES, LLC located in Sarasota, Florida.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Robert has worked at 11 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bobby Rosenberg | Robert D. Rosenberg | Robert Douglas Rosenberg
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.
(1) ROSENBERG ASSET MANAGEMENT LLC (DBA), SINCE 04/12/2004; SAME AS BRANCH ADDRESS, SARASOTA, FL, OWNER; FULL SERVICE FINANCIAL; 160 HOURS SPENT ON ACTIVITY PER MONTH, 160 HOURS DURING TRADING (2) TAYLORDOO44 PLLC, SINCE 02/08/2011; 5633 COLONY LAKE LANE, SARASOTA, FL, 34233; MANAGING MEMBER; PLLC IS SETUP FOR PAYROLL PURPOSES REGARDIN SELF EMPLOYMENT TAX; 1 HOUR SPENT ON ACTIVITY PER MONTH (3) CARDINAL MOONEY HIGH SCHOOL; SINCE 01/2014; 4171 FRUITVILLE RD, SARASOTA, FL, 34232; BOARD OF DIRECTORS; ALL ASPECTS OF SCHOOL OPERATIONS; 1 HOUR SPENT ON ACTIVITY PER MONTH, 0 DURING TRADING HOURS (4) ERIC BUCHANAN FUNDRAISER; SINCE 03/01/2014; 5350 POPLAR AVE STE 403, MEMPHIS, TN, 38119; IN CHARGE OF PUTTING ON GOLF TOURNEY; WILL HELP ORGANIZE A GOLF TOURNAMENT WITH THE GOAL OF RAISING FUNDS AND AWARENESS FOR ERIC BUCHANAN. ANY DONATIONS WILL GO TO NFT FOR HIS BENEFIT. MY JOB WILL BE TO ORGANIZE THE TOURNAMENT. GET ITEMS DONATED FOR SILENT AUCTION AND GET FOURSOMES TO PLAY. ONLY CAPITAL RAISED WILL BE PEOPLE PAYING TO PLAY IN TOURNAMENT; 2 HOURS SPENT ON ACTIVITY PER MONTH (5) CARDINAL MOONEY; 4917 FRUITVILLE RD, SARASOTA, FL, 34232; MEMBER; HIGH SCHOOL ALUMNI ASSOCIATION. WORK ON ALUMNI SOCIALS/EVENTS; 5 HOURS SPENT ON ACTIVITY PER MONTH, 0 DURING TRADING HOURS (6) JAMES BUCHANAN STATE HOUSE; NOT INVESTMENT RELATED; 276 ISLAND CIRCLE, SARASOTA, FL 34242; FRIEND RUNNING FOR POLITICAL OFFICE; HOST COMMITTEE; START 1/17/2018; APX 2 HOURS/MONTH, NONE DURING TRADING; WIFE AND I BEING ON HOST COMMITTEE FOR A PARTY TO RAISE FUNDS FOR JAMES BUCHANAN. (7) NAME OF OTHER BUSINESS: FLOCK FREE BIRD CONTROL ; INV REL: NO ADDRESS: 644 CROSS ST, LAKEWOOD NJ 08071 ; NATURE OF BUSINESS: PEST CONTROL ; START DATE: 10/2018 ; POSITION/TITLE/RELATIONSHIP: CONSULTANT ; APX # OF HOURS PER WEEK: LESS THAN 1 ; APX # OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: HELP WITH BUSINESS PRACTICES, POLICIES AND PROCEDURES ; (8) NAME OF OTHER BUSINESS: ST. JOHNS UNIVERSITY FOOTBALL ALUMNI ; INV REL: NO ; ADDRESS: 101 JAMES DOOLITTLE BLVD, UNIONDALE, NY 11553 ; NATURE OF BUSINESS: ALUMNI ASSOCIATION ; START DATE: 06/2020 ; POSITION/TITLE/RELATIONSHIP: MEMBER ; APX # OF HOURS PER WEEK: LESS THAN 1 ; APX # OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: HELPING TO PLAN EVENTS AND GOLF TOURNAMENTS ; (9) NAME OF OTHER BUSINESS: CARDINAL MOONEY CATHOLIC HIGH SCHOOL; INV REL: NO; ADDRESS: 4171 FRUITVILLE RD SARASOTA FL 34232; NATURE OF BUSINESS: VOLUNTEER; START DATE: 11/2020; POSITION/TITLE/RELATIONSHIP: VOLUNTEER; APX # OF HOURS PER WEEK: 1; APX # OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: ORGANIZING GOLF TOURNAMENT AND OTHER EVENTS TO BENEFIT THE SCHOOL; (10) NAME OF OTHER BUSINESS: ST.MARTHA CATHOLIC SCHOOL INV REL: NO; ADDRESS: 4380 FRUITVILLE RD, SARASOTA, FL 34232; NATURE OF BUSINESS: CATHOLIC CHURCH; START DATE: 01/2022; POSITION/TITLE/RELATIONSHIP: FINANCE CHAIR; APX # OF HOURS PER WEEK: 0.5; APX # OF HOURS DURING TRADING HOURS: 0.5; BRIEF DESCRIPTION OF DUTIES: SCHOOL BOARD MEMBER AND FINANCE CHAIR - SUPPORT SCHOOL'S FINANCE MANAGER. OCCASIONALLY WORK WITH DIOCESE REVIEWING BALANCE SHEET, INCOME STATEMENT, ETC.; (11) NAME OF OTHER BUSINESS: KNIGHTS INC ; INV REL: NO; ADDRESS: 6605 SUPERIOR AVE SARASOTA, FL 34241; NATURE OF BUSINESS: BOOSTER CLUB; START DATE: 03/2023; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX # OF HOURS PER WEEK: LESS THAN 1; APX # OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: PLANNING EVENTS SUCH AS GOLF TOURNAMENT, GALAS AND DADDY DAUGHTER DANCES; (12)NAME OF OTHER BUSINESS: SARASOTA SUN DEVILS; INV REL: NO; ADDRESS: 6700 CLARK RD SARASOTA, FL 34241; NATURE: NON PROFIT; START DATE: 04/2024; POSITION/TITLE/RELATIONSHIP: GENERAL BOARD MEMBER; APX # OF HRS PER WK: 0.5; APX # OF HRS DUR TRADING HRS: 0; DUTIES: ASSIST WITH FOOTBALL RELATED ACTIVITIES AND ASSIST WITH FUNDRAISING;
CRS (Client Relationship Summary) - RIA
Click below to view Robert Rosenberg'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®
NoneExperience
Current
April 28, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1219 S East Ave Ste C306, Sarasota, FL 34239RIA
CRD#: 105644
SARASOTA, FL
Current
September 20, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1219 S East Ave Ste C306, Sarasota, FL 34239BD
CRD#: 13572
Sarasota, FL
Past
March 22, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
April 3, 2013 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
SARASOTA, FL
Past
March 25, 2013 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
SARASOTA, FL
Past
December 12, 2011 - March 27, 2013
WADDELL & REED
RIA
CRD#: 866
ST. PETERSBURG, FL
Past
December 9, 2011 - March 27, 2013
WADDELL & REED
BD
CRD#: 866
ST. PETERSBURG, FL
Past
August 2, 2010 - December 9, 2011
ANDERSON & STRUDWICK, INCORPORATED
RIA
CRD#: 48
SARASOTA, FL
Past
July 1, 2010 - December 9, 2011
ANDERSON & STRUDWICK, INCORPORATED
BD
CRD#: 48
SARASOTA, FL
Past
February 6, 2009 - December 6, 2011
ROSENBERG ASSET MANAGEMENT
RIA
CRD#: 133000
SARASOTA, FL
Past
December 23, 2008 - July 7, 2010
JESUP & LAMONT SECURITIES CORP
RIA
CRD#: 39056
SARASOTA, FL
Past
November 18, 2008 - July 7, 2010
JESUP & LAMONT SECURITIES CORP
BD
CRD#: 39056
SARASOTA, FL
Past
October 13, 2008 - October 17, 2008
JESUP & LAMONT SECURITIES CORP
BD
CRD#: 39056
NEW YORK, NY
Past
January 5, 2007 - December 31, 2008
JESUP & LAMONT ADVISORS
RIA
CRD#: 108006
SARASOTA, FL
Past
December 12, 2006 - December 31, 2008
ANGELOTTI/ROSENBERG ASSET MANAGEMENT
RIA
CRD#: 133000
SARASOTA, FL
Past
November 3, 2005 - December 23, 2008
EMPIRE FINANCIAL GROUP, INC.
BD
CRD#: 28759
SARASOTA, FL
Past
August 19, 2004 - November 3, 2005
STONEX SECURITIES INC.
BD
CRD#: 18456
BIRMINGHAM, AL
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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
Alabama(9/20/2019)
RR
Arizona(9/20/2019)
RR
California(9/20/2019)
RR
Colorado(9/20/2019)
RR
Connecticut(9/20/2019)
RR
District of Columbia(9/20/2019)
RR
Florida(9/21/2019)
IAR
Florida(4/28/2023)
RR
Georgia(9/20/2019)
RR
Idaho(4/14/2022)
RR
Illinois(9/20/2019)
RR
Indiana(1/4/2021)
RR
Kentucky(9/20/2019)
RR
Maine(9/20/2019)
RR
Maryland(7/14/2025)
RR
Massachusetts(9/20/2019)
RR
Michigan(9/20/2019)
RR
Minnesota(5/7/2021)
RR
Mississippi(4/1/2025)
RR
Missouri(9/20/2019)
RR
New Hampshire(9/20/2019)
RR
New Jersey(9/20/2019)
RR
New York(9/20/2019)
RR
North Carolina(9/20/2019)
RR
Ohio(9/20/2019)
RR
Oregon(1/7/2020)
RR
Pennsylvania(9/20/2019)
RR
Rhode Island(9/20/2019)
RR
South Carolina(9/20/2019)
RR
Tennessee(9/20/2019)
RR
Texas(9/20/2019)
IAR
Texas(6/29/2023)
RR
Virginia(9/20/2019)
RR
Washington(9/20/2019)
RR
Wisconsin(9/20/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
