William B. 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.
William Bostick Rosenberg, who also goes by Bill Rosenberg, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1980. William had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 5, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2005 - April 30, 2007
NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY
June 3, 2004 - January 4, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 19, 1989 - January 4, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 15, 1989 - June 3, 1989
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 15, 1989 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
February 1, 1988 - April 12, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
August 19, 1980 - November 4, 1987
SALOMON BROTHERS INC.
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
Series 5
Date: 12/12/1981
Interest Rate Options ExaminationCurrent firm
No current employment
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.
