JR
Joshua C. Rosenberg
CETERA INVESTMENT ADVISERS LLC
WILMINGTON, NC 28403
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CRD#: 6476312
JR
Professional summary
Joshua Cole Rosenberg, who also goes by Joshua Rosenberg, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wilmington, North Carolina and CETERA ADVISORS LLC located in Wilmington, North Carolina.
Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Joshua has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joshua 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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START: 03/2019; APX # OF HRS/WK & DUR TRDNG HRS: 4; TITLE: INSURANCE AGENT; DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE; 2. DBA NABELL WINSLOW INVESTMENTS AND WEALTH MANAGEMENT; INVESTMENT RELATED; ADDRESS IS THE REGISTERED LOCATION; FINANCIAL SERVICES AND INSURANCE; START 04/2015; 40-50 HOURS/WEEK DURING SECURITIES TRADING HOURS; INVESTMENT ADVISOR REPRESENTATIVE. 3. NAME OF OTHER BUSINESS: COUGAR POINT, LLC; INVESTMENT RELATED: NO; ADDRESS: 60 CARR CIRCLE, MINERAL, VA 23117; NATURE OF BUSINESS: REAL ESTATE HOLDING; START: 11/21/2016; TITLE: VICE PRESIDENT; APX # OF HRS/WK: 0-5 HRS; APX # OF HRS DURING TRADING HRS: VARIES; DUTIES: ACT IN ABSENCE OF PRESIDENT AND DISCUSS BUSINESS ACTIVITIES. 4. NAME OF OTHER BUSINESS: PARTNERS SQUARE LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INSURANCE; START: 3/2019 TITLE: BUSINESS DEVELOPMENT OFFICER; APX # OF HRS/WK & DUR TRDNG HRS: 5; DUTIES: ADDRESS CLIENT NEEDS WITH FIXED PRODUCTS ; 5. NAME OF OTHER BUSINESS: NEW HANOVER ESTATE PLANNING COUNCIL; INVESTMENT RELATED: NO; ADDRESS: 1721 ALLENS LN #210 WILMINGTON NC 28403; NATURE OF BUSINESS: ESTATE PLANNING COUNCIL; START: 10/2020; TITLE: BOARD MEMBER; APX # OF HRS/WK & DUR TRDNG HRS: LESS THAN 1; DUTIES: ATTEND BOARD MEETINGS, ORGANIZE VENUES, SPEAKERS FOR CLIENTS, GROW MEMBERSHIP; 6. NAME OF OTHER BUSINESS: MASONBORO CAPITAL GROUP, LLC NABELL WINSLOW INVESTMENTS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES AND INSURANCE; START: 4/2022; TITLE: PARTNER ; APX # OF HRS/WK: 40 ; APX # OF HRS DURING TRADING HRS: 32.5 ; DUTIES: WORKING WITH MANAGING PARTNERS TO RUN AND GROW BUSINESS; 7. NAME OF OTHER BUSINESS: NABELL WINSLOW WEALTH MANAGEMENT; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START: 9/2013; TITLE: OWNER; APX # OF HRS/WK: 40, APX # OF HRS DURING TRADING HRS: 32.5, DUTIES: DBA FOR FINANCIAL SERVICES; 8. NAME OF OTHER BUSINESS: NABELL WINSLOW INSURANCE; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START: 9/2013, TITLE: OWNER; APX # OF HRS/WK: 40, APX # OF HRS DURING TRADING HRS: 32.5, DUTIES: DBA FOR FINANCIAL SERVICES; 9. NAME OF OTHER BUSINESS: NABELL WINSLOW LIFE INSURANCE; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START: 9/2013, TITLE: OWNER; APX # OF HRS/WK: 40, APX # OF HRS DURING TRADING HRS: 32.5, DUTIES: DBA FOR FINANCIAL SERVICES; 10. NAME OF OTHER BUSINESS: THE AMERICAN COLLEGE OF FINANCIAL SERVICES; INVESTMENT RELATED: NO; ADDRESS: 630 ALLENDALE RD, SUITE 400, KING OF PRUSSIA, PA 19406; NATURE OF BUSINESS: BOARD; START: 11/2022; POSITION: ADVISORY BOARD MEMBER; APX # OF HRS/WK & DUR TRDNG HRS: 2; DUTIES: ATTEND 4 MEETINGS A YEAR AND SERVE ON COMMITTEE TO ACCOMPLISH THE NEXTGEN ADVISORY TASK FORCE GOALS; 11. NAME OF OTHER BUSINESS: CAMERON EXECUTIVE NETWORK; INVESTMENT RELATED: NO; ADDRESS: 601 S COLLEGE RD, WILMINGTON, NC 28403; NATURE OF BUSINESS: MENTOR PROGRAM FOR COLLEGE JUNIORS & SENIORS; START: 1/2023; TITLE: MENTOR; APX # OF HRS/WK & DUR TRDNG HRS: 2; DUTIES: MEET WITH STUDENTS WHO NEED MENTORSHIP & ADVICE ON CHOOSING CAREER PATHS, CREATING RESUMES, INTERVIEWING, & APPLYING FOR JOBS; 12. NAME OF OTHER BUSINESS: AIRLIE GARDENS FOUNDATION INC BOARD OF DIRECTORS; INVESTMENT RELATED: NO; ADDRESS: 300 AIRLIE RD, WILMINGTON, NC 28403; NATURE OF BUSINESS: BOARD; START: 8/2025; TITLE: APPOINTED BOARD MEMBER; APX # OF HRS/WK & DUR TRD HRS: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; DUTIES: ATTEND MONTHLY MEETINGS;
CRS (Client Relationship Summary) - RIA
Click below to view Joshua Cole 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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 219 Racine Dr Ste A-1, Wilmington, NC 28403RIA
CRD#: 105644
WILMINGTON, NC
Current
April 29, 2015 - Present
CETERA ADVISORS LLC
Office #1: 219 Racine Dr Ste A-1, Wilmington, NC 28403BD
CRD#: 10299
Wilmington, NC
Past
May 20, 2015 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
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(2/1/2023)
RR
Colorado(10/5/2022)
RR
Florida(5/19/2021)
RR
Maryland(3/13/2020)
RR
North Carolina(5/20/2015)
IAR
North Carolina(3/21/2024)
RR
Texas(4/14/2022)
IAR
Texas(3/21/2024)
RR
Virginia(8/3/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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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.
