Neil R. 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.
Neil Robert Rosenberg, who also goes by Heil Robert Rosenberg, was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1981. Neil had worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2003 - July 24, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 1, 2002 - December 8, 2003
WAMU INVESTMENTS, INC.
January 3, 1995 - May 1, 2002
DIME SECURITIES, INC.
October 7, 1994 - December 31, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 12, 1992 - October 3, 1994
DIME SECURITIES, INC.
November 5, 1987 - May 27, 1992
INVEST FINANCIAL CORPORATION
August 12, 1987 - November 19, 1987
LEHMAN BROTHERS INC.
January 3, 1985 - December 15, 1986
LEHMAN BROTHERS INC.
May 18, 1981 - January 21, 1985
ADVEST, 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
Current Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
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