Heather L. Rosenberg
Professional summary
Heather Lisa Rosenberg, who also goes by Heather Rosenberg, is a registered financial professional currently at MACQUARIE CAPITAL (USA) INC. located in New York, New York.
Heather is registered as a RR (Registered Representative) and started their career in finance in 2022. Heather has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Heather Lisa Rosenberg's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 27, 2025 - Present
MACQUARIE CAPITAL (USA) INC.
Office #1: 660 5th Ave, New York, NY 10103March 2, 2022 - October 27, 2025
DELAWARE DISTRIBUTORS, L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 7TO
Date: 3/2/2022
General Securities Representative ExaminationFINRA
Current Firm
MACQUARIE CAPITAL (USA) INC.
CRD#: 36368 / SEC#: , 8-47198
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACQUARIE HOLDINGS (USA) INC. | SHAREHOLDER | |
| BACHTELER, TOBIAS | CO-CHIEF EXECUTIVE OFFICER | 4945558 |
| CHAN, PAULINA M | CHIEF COMPLIANCE OFFICER | 3211559 |
| CONAHAN, JAMES S | CHIEF FINANCIAL OFFICER/FINOP | 2538695 |
| DE FREITAS, CARLOS A | CHIEF OPERATING OFFICER | 4812920 |
| FULTON, JANEEN KAY | AML OFFICER | 3066508 |
| VALENTINE, ROBERT GEOFFREY | DIRECTOR | 5633577 |
| VUOLO, JEREMY MURPHY | CO-CHIEF EXECUTIVE OFFICER | 2798378 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
Red Flags
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