Debra L. 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.
Debra Lynn Rosenberg, who also goes by Debra Lynn Johnson, Debra Lynn Johnson Or Rusch, Debra Lynn Rusch, was a registered financial professional .
Debra is a previously registered financial professional and started their career in finance in 2007. Debra had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2014 - June 16, 2022
STILES FINANCIAL SERVICES, INC.
March 29, 2013 - May 11, 2020
CAMBRIDGE INVESTMENT RESEARCH, INC.
November 6, 2007 - July 18, 2012
M&I FINANCIAL ADVISORS, INC
Primary Firm SEC Registration
STILES FINANCIAL SERVICES, INC.
CRD#: 117023 / SEC#: 801-110176
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
Current Firm
STILES FINANCIAL SERVICES, INC.
CRD#: 117023 / SEC#: 801-110176
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 729 |
| AUM (Assets Under Management) | $ 439,250,499 |
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.
