Robert Z. 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.
Robert Zeil Rosenberg, who also goes by Robert Z Rosenberg, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1981. Robert had worked at 22 firms and has passed the Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2010 - August 7, 2013
ALLSTATE FINANCIAL SERVICES, LLC
April 4, 2008 - July 28, 2010
CHASE INVESTMENT SERVICES CORP.
September 13, 2007 - March 7, 2008
EQUITABLE ADVISORS, LLC
March 26, 2003 - February 23, 2007
NYLIFE SECURITIES LLC
March 9, 2001 - March 7, 2003
SIGNATOR INVESTORS, INC.
March 23, 2000 - February 21, 2001
MONY SECURITIES CORPORATION
April 27, 1998 - March 14, 2000
HORNOR, TOWNSEND & KENT, LLC
July 23, 1997 - April 16, 1998
GUARDIAN INVESTOR SERVICES LLC
May 3, 1996 - May 30, 1997
MML INVESTORS SERVICES, LLC
October 26, 1994 - April 10, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 26, 1994 - April 10, 1996
SIGNATOR INVESTORS, INC.
July 14, 1993 - December 1, 1993
OSAIC WEALTH, INC.
December 3, 1991 - June 29, 1993
GUARDIAN INVESTOR SERVICES LLC
November 28, 1990 - October 11, 1991
MONY SECURITIES CORPORATION
February 1, 1989 - August 7, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 1, 1989 - August 7, 1989
EQUITABLE ADVISORS, LLC
October 27, 1987 - November 29, 1988
FSC SECURITIES CORPORATION
September 8, 1987 - November 4, 1987
STEVEN ANDREW & COMPANY, INC.
March 17, 1987 - August 10, 1987
JEROLD SECURITIES & CO., INC.
December 12, 1986 - February 11, 1987
GILFORD SECURITIES INCORPORATED
January 24, 1986 - November 24, 1986
MONVEST SECURITIES, INC.
August 18, 1983 - February 6, 1984
E. F. HUTTON & COMPANY INC
March 1, 1983 - June 14, 1983
ROONEY, PACE INC.
June 30, 1982 - December 7, 1982
BLINDER, ROBINSON & CO., INC.
April 5, 1982 - June 9, 1982
BUTCHER & SINGER INC.
July 20, 1981 - May 4, 1982
LEHMAN 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: 10/17/1981
Interest Rate Options ExaminationCurrent Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
