Ricardo M. Rosenberg

SARGENT INVESTMENT GROUP

Bethesda, MD 20814

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CRD#: 728493

Professional summary

Ricardo Martin Rosenberg is a registered financial advisor currently at SARGENT INVESTMENT GROUP located in Bethesda, Maryland.

Ricardo is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Ricardo has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 15 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Trustee for Wife's Trust. Trust Invested in RNA LLC, which is invested in BNA 4TH AVENUE INVESTORS, LLC; INV RELATED; NEW YORK, NY; INVESTMENT PROPERTY; 43% OWNERSHIP; START 10/13/2015; 0 HOURS PER MONTH, 0 DURING TRADING; OWNER, NO DUTIES. Silvershore Properties 30, LLC, Inv Related 2.2% ownership, not Duties, 0 hours per month. Ionia LLC, <1% owneship, investment related, no duties 0 hours per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ricardo Martin Rosenberg's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 3, 2018 - Present

SARGENT INVESTMENT GROUP

Office #1: 4920 Elm Street Suite 305, Bethesda, MD 20814

RIA

CRD#: 297499

Bethesda, MD

Past

July 1, 2003 - August 9, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WASHINGTON, DC

Past

July 1, 2003 - August 9, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WASHINGTON, DC

Past

February 19, 1994 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

WASHINGTON, DC

Past

August 25, 1989 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

April 13, 1981 - August 25, 1989

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

NEW YORK, NY

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".

SARGENT INVESTMENT GROUP

MOSELEY INVESTMENTS, LLC | SARGENT INVESTMENT GROUP, LLC | SARGENT INVESTMENT GROUP

CRD#: 297499 / SEC#: 801-113542

RIA

Registered Investment Advisory firm - (7/6/2018 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.

Highlighted states indicate IAR registrations

IAR

Maryland
(8/3/2018)

IAR

Texas
(8/27/2018)

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 65

Date: 2/13/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/5/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/9/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 15

Date: 9/12/1984

Foreign Currency Options Examination

General Industry/Product Exam

Series 7

Date: 4/11/1981

General Securities Representative Examination

Current Firm

SARGENT INVESTMENT GROUP

MOSELEY INVESTMENTS, LLC | SARGENT INVESTMENT GROUP, LLC | SARGENT INVESTMENT GROUP

CRD#: 297499 / SEC#: 801-113542

RIA

Registered Investment Advisory firm - (7/6/2018 Approved)

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Contact information

Main Address

4920 Elm Street Suite 305, Bethesda, MD 20814

Mailing Address

Phone number

(202) 580-6400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM DISCLOSURE BROCHURE 2A (4/25/2025)

Regulatory assets under management

Total Number of Accounts	1,258
AUM (Assets Under Management)	$ 1,282,044,465

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/23/2022	Cover Page	Report

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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Ricardo M. Rosenberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ricardo Martin Rosenberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

THOMSON MCKINNON SECURITIES INC.

Primary Firm SEC Registration

SARGENT INVESTMENT GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 2/13/1992

Series 63

Date: 6/5/1981

SIE

Date: 8/9/2018

Series 15

Date: 9/12/1984

Series 7

Date: 4/11/1981

Current Firm

SARGENT INVESTMENT GROUP

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SARGENT INVESTMENT GROUP

TRUST BUT VERIFY

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