John E. Rosenberger
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.
John Edward Rosenberger, who also goes by John E Rosenberger Jr, John Edward Rosenberger Jr, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2023 - December 16, 2023
STONEX SECURITIES INC.
December 22, 2016 - December 31, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
September 12, 2014 - December 21, 2016
STONEX SECURITIES INC.
April 14, 1994 - September 12, 2014
WRP INVESTMENTS, INC.
August 13, 1993 - April 19, 1994
CETERA ADVISORS LLC
April 21, 1992 - September 9, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 21, 1992 - September 9, 1993
SIGNATOR INVESTORS, INC.
October 3, 1990 - April 26, 1991
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 3, 1990 - April 26, 1991
SIGNATOR INVESTORS, INC.
June 3, 1985 - December 19, 1986
WOODBURY FINANCIAL SERVICES, INC.
March 18, 1983 - June 18, 1984
AMERICAN EXPRESS FINANCIAL CORPORATION
March 18, 1983 - June 18, 1984
AMERIPRISE FINANCIAL SERVICES, LLC
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 1
Date: 3/5/1977
Registered Representative ExaminationCurrent Firm
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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.
