Abraham Rosenberg
Professional Summary
Abraham Rosenberg is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Newport, Rhode Island. Abraham is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Abraham has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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IMPACT INVESTORS
J.P. MORGAN SECURITIES LLC
PFS INVESTMENTS INC.
SOUNDVIEW PRIVATE WEALTH ADVISORS
Videos & Posts
This advisor has not added any videos or posts yet.
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IMPACT INVESTORS
J.P. MORGAN SECURITIES LLC
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SOUNDVIEW PRIVATE WEALTH ADVISORS
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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IMPACT INVESTORS
J.P. MORGAN SECURITIES LLC
PFS INVESTMENTS INC.
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Disclosures on record.
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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J.P. MORGAN SECURITIES LLC
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SOUNDVIEW PRIVATE WEALTH ADVISORS
Years of Experience
10 years registered in the securities industry
Current & Past Employments
Current
Past
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J.P. MORGAN SECURITIES LLC
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Current Firm
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
Contact Information
Main Address
One Citizens Bank Way Jcb135, Johnston, RI 02919Mailing Address
200 Station Drive Mws414, Westwood, MA 02090Phone Number
(781) 364-1641Established
Rhode Island since 09/21/1995Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
471SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
60,545AUM (Assets Under Management)
$12,868,719,975Disclosures
Regulatory Event
16Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
State Registrations and Notice Filings
(1/5/2026)
(1/6/2026)
(1/17/2022)
(1/17/2022)
(8/15/2019)
(8/15/2019)
(3/19/2025)
(3/20/2025)
(1/8/2020)
(6/28/2023)
(6/28/2023)
(10/25/2023)
(10/25/2023)
(1/6/2026)
(1/27/2026)
(6/27/2018)
(6/27/2018)
(7/27/2026)
(7/28/2026)
(12/6/2024)
(12/6/2024)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Abraham Rosenberg's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Abraham Rosenberg's CRS (Customer Relationship Summary).
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