Julie S. Rosenberg
Professional summary
Julie Suzanne Rosenberg, who also goes by Julie Suzanne Kaufman, is a registered financial professional currently at INDEPENDENCE POINT SECURITIES LLC located in New York, New York.
Julie is registered as a RR (Registered Representative) and started their career in finance in 2005. Julie has worked at 6 firms and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Julie Suzanne Rosenberg's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 27, 2023 - Present
INDEPENDENCE POINT SECURITIES LLC
Office #1: 101 Greenwich Street Suite 1202, New York, NY 10006October 7, 2021 - February 16, 2023
PRAGER & CO., LLC
December 22, 2017 - May 11, 2018
KEYBANC CAPITAL MARKETS INC.
February 18, 2009 - December 22, 2017
CAIN BROTHERS & COMPANY, LLC
June 2, 2008 - February 6, 2009
RIVERSOURCE SERVICES, INC.
June 22, 2005 - February 3, 2009
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
INDEPENDENCE POINT SECURITIES LLC
CRD#: 318171 / SEC#: , 8-70853
Contact information
FINRA licenses (7 States and Territories)
Documents
Red Flags
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