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Alan Rosenberg

Raymond James & Associates, INC.
26 Years of Experience
Garden City, NY
3 DisclosuresBroker
View SEC Summary
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Alan Rosenberg is a registered investment advisor at Raymond James & Associates, INC., based in Garden City, NY, with 26 years of industry experience. Alan is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5790 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1461 Franklin Avenue; Suite Lle, Garden City, NY, 11530

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History

Regulatory History (3)
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
December 2016
Settled
Customer Dispute
September 2009
Settled
Regulatory
January 2005
Final
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Raymond James & Associates, INC.
August 2021 - Present · 5 yrs 2 mos
Raymond James & Associates, INC.
September 2007 - Present · 19 yrs 1 mo
Raymond James & Associates, INC.Broker
September 2007 - Present · 19 yrs 1 mo
Previous Registrations
Raymond James & Associates, INC.
August 2013 - December 2018 · 5 yrs 4 mos
Merrill Lynch Pierce Fenner & Smith INC.
July 2006 - September 2007 · 1 yr 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 2006 - September 2007 · 1 yr 6 mos
Advest, INC.Broker
April 2005 - March 2006 · 11 mos
Banc of America Investment Services, INC.
October 2004 - May 2005 · 7 mos
Banc of America Investment Services, INC.Broker
October 2004 - May 2005 · 7 mos
Quick & Reilly, INC.
February 2003 - October 2004 · 1 yr 8 mos
Quick & Reilly, INC.Broker
December 2002 - October 2004 · 1 yr 10 mos
Prudential Securities IncorporatedBroker
May 2001 - December 2002 · 1 yr 7 mos
UBS Painewebber INC.Broker
May 2000 - May 2001 · 1 yr
State Registrations18 states
AZCACTFLGAINLAMAMDMENCNJNYSCTNTXVAVT
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.
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