Individual Firm
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MICHAEL LANE ROSENBERG
CRD#: 1051221
IA
B
LPL FINANCIAL LLCCRD#: 6413 23 VREELAND ROAD SUITE 204
FLORHAM PARK, NJ 07932
FLORHAM PARK, NJ 07932
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5/12/2023
Judgment / Lien
2/17/2022
Judgment / Lien
10/19/2018
Customer Dispute
Denied
3/8/2018
Judgment / Lien
4/29/2016
Judgment / Lien
1/19/2016
Judgment / Lien
6/5/2015
Financial
Final
2/12/2015
Judgment / Lien
State Registrations
B
Alabama 12/20/2021
B
New Mexico 3/6/2019
B
California 7/16/2020
B
New York 3/2/2004
B
Florida 1/2/2008
B
North Carolina 4/6/2009
B
Illinois 5/6/2022
B
Pennsylvania 4/6/2005
B
New Jersey 3/2/2004
B
Tennessee 11/2/2021
IA
New Jersey 3/2/2004
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 3/2/2004
B
Registered with this firm since 3/2/2004
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/29/2002 - 03/11/2004 | EDISON, NJ | |
B | 01/21/1998 - 03/11/2004 | EL SEGUNDO, CA | |
B | 04/22/1996 - 02/02/1998 | CINCINNATI, OH | |
B | 09/15/1993 - 05/20/1996 | FORT WAYNE, IN | |
B | 01/01/1992 - 09/15/1993 | EL SEGUNDO, CA | |
B | 01/04/1991 - 01/01/1992 | ||
B | 09/05/1985 - 12/14/1990 | FORT WAYNE, IN | |
B | 03/16/1983 - 09/30/1985 | ||
B | 11/02/1983 - 02/27/1984 | ||
B | 08/11/1982 - 09/08/1982 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.