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EDWARD MARTIN ROSENBERG
ED ROSENBERG, EDWARD ROSENBERG
CRD#: 1224716
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 1219 S EAST AVE STE C306
SARASOTA, FL 34239
CETERA ADVISOR NETWORKS LLCCRD#: 13572 1219 S EAST AVE STE C306
SARASOTA, FL 34239
Registration History
1985199019952000200520102015202020252 FIRMS1999 - 2003 (4 years)3 FIRMS2003 - 2004 (<1 year)2 FIRMS2011 - 2013 (1 year)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2023 - Present (1 year)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)2019 - Present (5 years)BSUMMIT BROKERAGE SERVICES, INC. (CRD# 34643)2013 - 2019 (6 years)BJESUP & LAMONT SECURITIES CORP (CRD# 39056)2009 - 2010 (1 year)BEMPIRE FINANCIAL GROUP, INC. (CRD# 28759)2005 - 2008 (3 years)BSTERNE AGEE FINANCIAL SERVICES... (CRD# 18456)2004 - 2005 (1 year)BPAINEWEBBER INCORPORATED (CRD# 8174)1994 - 1999 (4 years)BSMITH BARNEY INC. (CRD# 7059)1993 - 1994 (1 year)BLEHMAN BROTHERS INC. (CRD# 7506)1992 - 1993 (1 year)BSMITH BARNEY, HARRIS UPHAM & C... (CRD# 7059)1989 - 1992 (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1989 - 1989 (<1 year)BKIDDER, PEABODY & CO. INCORPORATED (CRD# 7613)1987 - 1989 (1 year)BFSC SECURITIES CORPORATION (CRD# 7461)1987 - 1987 (<1 year)BISFA CORPORATION (CRD# 12984)1986 - 1987 (1 year)BCITIZENS FINANCIAL SECURITIES ... (CRD# 10775)1983 - 1985 (1 year)IACETERA ADVISOR NETWORKS LLC (CRD# 13572)2021 - 2023 (2 years)IASUMMIT FINANCIAL GROUP INC (CRD# 109485)2013 - 2021 (8 years)IAROSENBERG ASSET MANAGEMENT (CRD# 133000)2009 - 2011 (2 years)IAANGELOTTI/ROSENBERG ASSET MANA... (CRD# 133000)2004 - 2008 (4 years)
Disclosure(s)
View By:
9/30/2009
Customer Dispute
Withdrawn
9/7/2007
Customer Dispute
Closed-No Action
9/26/2005
Employment Separation After Allegations
8/16/2004
Customer Dispute
Settled
3/17/2003
Customer Dispute
Award / Judgment
11/20/2002
Customer Dispute
Settled
11/8/2002
Customer Dispute
Award / Judgment
7/24/2000
Customer Dispute
Settled
11/4/1993
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 1/6/2023

B
Maine 9/20/2019

B
Arizona 9/20/2019

B
Massachusetts 1/14/2021

B
California 9/20/2019

B
Michigan 9/20/2019

B
Connecticut 1/19/2021

B
New York 9/20/2019

B
District of Columbia 9/20/2019

B
North Carolina 9/20/2019

B
Florida 9/13/2019

B
Ohio 9/20/2019

IA
Florida 6/2/2023

B
Pennsylvania 9/20/2019

B
Georgia 9/20/2019

B
Rhode Island 9/20/2019

B
Illinois 9/20/2019

B
South Carolina 9/20/2019

B
Indiana 9/20/2019

B
Virginia 9/20/2019

B
Kentucky 1/9/2023

B
Wisconsin 1/7/2021

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
1219 S EAST AVE STE C306, SARASOTA, FL 34239
Registered with this firm since 6/2/2023

B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
1219 S EAST AVE STE C306, SARASOTA, FL 34239
Registered with this firm since 8/22/2019

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/17/2021 - 06/29/2023 CETERA ADVISOR NETWORKS LLC (CRD#:13572) SARASOTA, FL
IA
04/03/2013 - 05/20/2021 SUMMIT FINANCIAL GROUP INC (CRD#:109485) SARASOTA, FL
B
03/25/2013 - 09/20/2019 SUMMIT BROKERAGE SERVICES, INC. (CRD#:34643) SARASOTA, FL
IA
12/12/2011 - 03/26/2013 WADDELL & REED, INC. (CRD#:866) ST. PETERSBURG, FL
B
12/14/2011 - 03/26/2013 WADDELL & REED, INC. (CRD#:866) ST. PETERSBURG, FL
IA
10/01/2009 - 12/06/2011 ROSENBERG ASSET MANAGEMENT (CRD#:133000) SARASOTA, FL
B
01/27/2009 - 07/15/2010 JESUP & LAMONT SECURITIES CORP (CRD#:39056)
FINRA expelled the firm on 11/04/2010
SARASOTA, FL
IA
10/29/2004 - 12/31/2008 ANGELOTTI/ROSENBERG ASSET MANAGEMENT (CRD#:133000) SARASOTA , FL
B
12/12/2005 - 12/23/2008 EMPIRE FINANCIAL GROUP, INC. (CRD#:28759)
FINRA expelled the firm on 03/30/2009
SARASOTA, FL
B
05/10/2004 - 09/26/2005 STERNE AGEE FINANCIAL SERVICES, INC. (CRD#:18456) BIRMINGHAM, AL
IA
12/19/2003 - 09/22/2004 GLOBAL FINANCIAL ASSET MANAGEMENT, LLC (CRD#:127629) SARASOTA, FL
IA
09/29/2003 - 03/19/2004 INTERSECURITIES, INC. (CRD#:16164) SARASOTA, FL
B
09/23/2003 - 03/19/2004 INTERSECURITIES, INC. (CRD#:16164) PHILADELPHIA, PA
IA
03/26/1999 - 09/24/2003 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) SARASOTA, FL
B
03/25/1999 - 09/24/2003 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) MEMPHIS, TN
B
11/21/1994 - 03/10/1999 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
07/31/1993 - 11/11/1994 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
03/31/1992 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
11/13/1989 - 03/25/1992 SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (CRD#:7059) NEW YORK, NY
B
10/30/1989 - 11/13/1989 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
12/08/1987 - 11/08/1989 KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613) NEW YORK, NY
B
05/26/1987 - 11/19/1987 FSC SECURITIES CORPORATION (CRD#:7461)
B
03/31/1986 - 05/07/1987 ISFA CORPORATION (CRD#:12984)
B
12/21/1983 - 02/07/1985 CITIZENS FINANCIAL SECURITIES CORPORATION (CRD#:10775)
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Broker
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Investment Adviser
Disclosures
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.