Seth A. Rosenberg

ABILITY FIRST

Phoenix, AZ 85016

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CRD#: 6414032

Professional summary

Seth Aaron Rosenberg, CFP®, who also goes by Seth A Rosenberg, is a registered financial advisor currently at ABILITY FIRST located in Phoenix, Arizona.

Seth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Seth has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Seth A 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.

SETH ROSENBERG -RESIDENTIAL REAL ESTATE~2024 E BALTIMORE ST, BALTIMORE, MD 21231~RESIDENTIAL REALESTATE~N~OWNER~12/2014~3 HRS/MO~1 TRADING HRS/MO|SETH ROSENBERG-RESIDENTIAL REAL ESTATE~5007 W FOREST PARK AVE, BALTIMORE, MD 21207~RESIDENTIAL REALESTATE~N~OWNER~12/2014~3 HRS/MO~1 TRADING HRS/MO The Max C Rosenberg FLLP (Holds some family assets and business interests) JR's Shoes and Boots LLC and JR's Custom LLC (Industrial Boot Store, Retail) Wholly owned as an investment (1-2 hours per week)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Seth Aaron 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®

CFP^®

Certified Financial Planner

Start date: 2021

Experience

Current

January 10, 2019 - Present

ABILITY FIRST

Office #1: 2390 E Camelback Rd #130, Phoenix, AZ 85016

RIA

CRD#: 300076

Phoenix, AZ

Past

January 24, 2018 - December 14, 2018

CAPITAL EXECUTIVE SOLUTIONS

RIA

CRD#: 292152

Phoenix, AZ

Past

October 21, 2015 - January 31, 2018

LIFEMARK SECURITIES CORP.

RIA

CRD#: 16204

Phoenix, AZ

Past

October 7, 2015 - January 31, 2018

LIFEMARK SECURITIES CORP.

CRD#: 16204

Phoenix, AZ

Past

December 24, 2014 - August 20, 2015

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Hunt Valley, MD

Past

November 25, 2014 - August 20, 2015

PRUCO SECURITIES, LLC.

CRD#: 5685

Hunt Valley, MD

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.

Highlighted states indicate IAR registrations

IAR

Arizona
(1/10/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/23/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 1/31/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/25/2014

General Securities Representative Examination

Current Firm

ABILITY FIRST

CRD#: 300076 / SEC#:

Arizona

Registered Investment Advisory firm - (1/10/2019 Approved)

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Contact information

Main Address

2390 E Camelback Rd #130, Phoenix, AZ 85021

Mailing Address

Phone number

(410) 336-6118

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	53
AUM (Assets Under Management)	$ 6,200,000

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.

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Seth A. Rosenberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Seth Aaron Rosenberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

ABILITY FIRST

CAPITAL EXECUTIVE SOLUTIONS

LIFEMARK SECURITIES CORP.

LIFEMARK SECURITIES CORP.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/23/2014

SIE

Date: 1/31/2018

Series 7

Date: 11/25/2014

Current Firm

ABILITY FIRST

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ABILITY FIRST

TRUST BUT VERIFY

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