Steven Rosenberg
Steven Rosenberg is a registered investment advisor at Rockefeller Capital Management, based in Boca Raton, FL, with 32 years of industry experience. Steven is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 10 more. Their firm serves 50,292 clients with $100B 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 | 2.00% |
Non-discretionary investment advisory and consulting fees are negotiable and max out at 2% of assets under management. Retirement plan services charge up to 1.25% with a $5,000 minimum annual fee.
Fee Estimator
Location
5355 Town Center Rd Floor 6, Boca Raton, FL, 33486
Get directionsHistory
Regulatory History (1)
Customer Dispute
March 2003Other Business Activities
Steven is an investor/shareholder in Tupero Homey Care, a restaurant in North Carolina. He devotes minimal time to this activity, which he has been involved with since 2012.
Employment History
Current Registrations
Rockefeller Financial LLCBroker
Rockefeller Capital Management
Previous Registrations
Morgan Stanley
Morgan StanleyBroker
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations23 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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