Eric Rosenberg
Eric Rosenberg is a registered investment advisor at Oppenheimer & CO. INC., based in New York, NY, with 44 years of industry experience. Eric is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 39,036 clients with $37B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
Maximum asset-based fees are up to 2.5% for the FAM program and up to 2.25% for the Preference program. Fees vary by program and are negotiable.
Fee Estimator
Location
666 3rd Avenue, New York, NY, 10017
Get directionsHistory
Regulatory History (6)
Customer Dispute
April 2019Customer Dispute
April 2016Customer Dispute
August 2013Employment Separation After Allegations
May 2013Customer Dispute
August 2009Customer Dispute
July 1999Employment History
Current Registrations
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.Broker
Previous Registrations
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
J. B. Hanauer & CO.
J. B. Hanauer & CO.Broker
State Registrations10 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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