Eric C. 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.
Eric Cooper Rosenberg, CFP®, who also goes by Eric Rosenberg, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2011. Eric had worked at 6 firms and has passed the Series 66, SIE, Series 7 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
Start date: 2017
Experience
February 3, 2022 - May 1, 2023
THE O.N. EQUITY SALES COMPANY
October 25, 2019 - September 16, 2020
EQUITABLE ADVISORS, LLC
October 23, 2019 - September 16, 2020
EQUITABLE ADVISORS, LLC
September 6, 2017 - December 7, 2017
SECURITIES AMERICA ADVISORS, INC.
August 31, 2017 - December 7, 2017
SECURITIES AMERICA, INC.
May 13, 2013 - July 24, 2017
WELLS FARGO CLEARING SERVICES, LLC
March 13, 2013 - July 24, 2017
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - May 2, 2011
NYLIFE SECURITIES LLC
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
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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