ER
ER
Edward Rosenberg
40 Years of Experience
Sarasota, FL
9 DisclosuresBroker
Edward Rosenberg is a registered investment advisor at Cetera Investment Advisers LLC, based in Sarasota, FL, with 40 years of industry experience. Edward operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
1219 S East Ave Ste C306, Sarasota, FL, 34239
Get directionsHistory
Regulatory History (9)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2009Withdrawn
Customer Dispute
September 2007Closed-No Action
Employment Separation After Allegations
September 2005Customer Dispute
August 2004Settled
Customer Dispute
March 2003Award / Judgment
Customer Dispute
November 2002Settled
Customer Dispute
November 2002Award / Judgment
Customer Dispute
July 2000Settled
Customer Dispute
November 1993Settled
Other Business Activities
Edward is the successor trustee for the Leon Krieger Trust, dedicating minimal time per week. He also owns Rosenberg Asset Management, working there full-time as a financial advisor.
Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 2 yrs 11 mos
Cetera Wealth Services, LLCBroker
August 2019 - Present · 6 yrs 9 mos
Previous Registrations
Cetera Advisor Networks LLC
March 2021 - June 2023 · 2 yrs 3 mos
Summit Financial Group INC
April 2013 - May 2021 · 8 yrs 1 mo
Summit Brokerage Services, INC.Broker
March 2013 - September 2019 · 6 yrs 6 mos
Waddell & Reed, INC.Broker
December 2011 - March 2013 · 1 yr 3 mos
Waddell & Reed, INC.
December 2011 - March 2013 · 1 yr 3 mos
Rosenberg Asset Management
October 2009 - December 2011 · 2 yrs 2 mos
Jesup & Lamont Securities CORPBroker
January 2009 - July 2010 · 1 yr 6 mos
Empire Financial Group, INC.Broker
December 2005 - December 2008 · 3 yrs
Angelotti/rosenberg Asset Management
October 2004 - December 2008 · 4 yrs 2 mos
Sterne Agee Financial Services, INC.Broker
May 2004 - September 2005 · 1 yr 4 mos
Global Financial Asset Management, LLC
December 2003 - September 2004 · 9 mos
Intersecurities, INC.
September 2003 - March 2004 · 6 mos
Intersecurities, INC.Broker
September 2003 - March 2004 · 6 mos
Morgan Keegan & Company, INC.
March 1999 - September 2003 · 4 yrs 6 mos
Morgan Keegan & Company, INC.Broker
March 1999 - September 2003 · 4 yrs 6 mos
Painewebber IncorporatedBroker
November 1994 - March 1999 · 4 yrs 4 mos
Smith Barney INC.Broker
July 1993 - November 1994 · 1 yr 4 mos
Lehman Brothers INC.Broker
March 1992 - July 1993 · 1 yr 4 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
November 1989 - March 1992 · 2 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 1989 - November 1989 · 1 mo
Kidder, Peabody & CO. IncorporatedBroker
December 1987 - November 1989 · 1 yr 11 mos
Fsc Securities CorporationBroker
May 1987 - November 1987 · 6 mos
Isfa CorporationBroker
March 1986 - May 1987 · 1 yr 2 mos
Citizens Financial Securities CorporationBroker
December 1983 - February 1985 · 1 yr 2 mos
State Registrations21 states
ALAZCACTDCFLGAILINKYMAMEMINCNYOHPARISCVAWI
AdvisorBrokerBoth
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
No exam information available for this advisor.