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Detailed Report
ERIC KARL ROSENBERGER
CRD#: 4636157
IA
Investment Adviser
B
Broker
KESTRA ADVISORY SERVICES, LLCCRD#: 283330 161 Madison Avenue
Suite 200
Morristown, NJ 07960
KESTRA INVESTMENT SERVICES, LLCCRD#: 42046 161 Madison Avenue
Suite 200
MORRISTOWN, NJ 07960
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2004 - 2018 (14 years)2 FIRMS2018 - Present (7 years)BSUMMIT EQUITIES, INC. (CRD# 11039)2003 - 2018 (14 years)
Disclosure(s)
View By:
1/12/2018
Employment Separation After Allegations
License(s)

State Registrations

B
Arizona 8/2/2022
B
New Jersey 2/23/2018
B
California 1/17/2018
IA
New Jersey 2/23/2018
B
Colorado 5/8/2018
B
New Mexico 4/8/2021
B
Connecticut 1/11/2024
B
New York 1/17/2018
B
District of Columbia 2/13/2024
B
North Carolina 3/9/2018
B
Florida 6/1/2018
B
Pennsylvania 3/20/2018
B
Georgia 4/20/2018
B
South Carolina 3/27/2018
B
Hawaii 2/15/2024
B
Texas 2/5/2021
B
Maine 1/13/2025
IA
Texas 7/27/2023
B
Maryland 1/19/2024
B
Utah 11/13/2024
B
Massachusetts 2/4/2022
B
Vermont 4/22/2024
B
Michigan 10/17/2022
B
Virginia 1/12/2024
B
Nevada 9/6/2023
B
Wisconsin 3/12/2018
B
New Hampshire 8/14/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
KESTRA ADVISORY SERVICES, LLC (CRD#:283330)
161 Madison Avenue Suite 200, Morristown, NJ 07960
Registered with this firm since 2/23/2018
B
KESTRA INVESTMENT SERVICES, LLC (CRD#:42046)
161 Madison Avenue Suite 200, MORRISTOWN, NJ 07960
475 Park Avenue Suite 2100, New York, NY 10016
Registered with this firm since 1/17/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/27/2004 - 01/12/2018 SUMMIT EQUITIES INC (CRD#:11039) PARSIPPANY, NJ
IA
 01/27/2004 - 01/12/2018 SUMMIT FINANCIAL RESOURCES INC (CRD#:104990) PARSIPPANY, NJ
B
 04/18/2003 - 01/12/2018 SUMMIT EQUITIES, INC. (CRD#:11039) PARSIPPANY, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.