Samuel Rosenbaum is a CFA-designated registered investment advisor, based in Morristown, NJ, with 4 years of industry experience. Samuel is also registered as a broker, so some compensation may come from commissions on products sold.
Location
67 E Park Pl, Ste 750, Morristown, NJ, 07960
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
March 2026 - Present · 7 mos
Raymond James Financial Services, INC.Broker
March 2026 - Present · 7 mos
Previous Registrations
J.P. Morgan Securities LLC
June 2024 - March 2026 · 1 yr 9 mos
J.P. Morgan Securities LLCBroker
June 2024 - March 2026 · 1 yr 9 mos
Morgan Stanley
October 2022 - June 2024 · 1 yr 8 mos
Morgan StanleyBroker
August 2022 - June 2024 · 1 yr 10 mos
State Registrations4 states
CTFLNJNY
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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