Robert Joel Eisenberg - Investment Adviser at SGL FINANCIAL, LLC

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Detailed ReportReport

Robert Joel Eisenberg

Robbie Eisenberg

CRD#: 4897643

Investment Adviser

Previous Broker

SGL FINANCIAL, LLCCRD#: 158023

1130 W. Lake Cook Road, Suite 150
Buffalo Grove, IL 60089

Registration History

Disclosure(s)

View By:

11/14/2018

Regulatory

Final

2/26/2018

Regulatory

Final

License(s)

State Registrations

Florida 10/4/2022

Illinois 8/12/2022

Current Registration(s)

SGL FINANCIAL, LLC (CRD#:158023)

1130 W. Lake Cook Road, Suite 150, Buffalo Grove, IL 60089

Registered with this firm since 8/12/2022

Previous Registration(s)

th hidden text	th hidden text	Name	Location
IA	08/02/2022 - 08/03/2022	SGL FINANCIAL, LLC (CRD#:158023)	BUFFALO GROVE, IL
IA	04/04/2022 - 07/20/2022	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881)	SKOKIE, IL
B	03/04/2022 - 07/20/2022	NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)	SKOKIE, IL
IA	09/10/2021 - 12/01/2021	VERITY ASSET MANAGEMENT (CRD#:158667)	HIGHLAND PARK, IL
IA	07/13/2020 - 10/16/2020	BROOKSTONE CAPITAL MANAGEMENT LLC (CRD#:141413)	Highland Park, IL
IA	11/27/2018 - 04/30/2019	GRADIENT ADVISORS, LLC (CRD#:152665)	Highland Park, IL
B	01/03/2007 - 12/31/2008	WATERSTONE FINANCIAL GROUP, INC. (CRD#:10078)	BANNOCKBURN, IL
IA	11/01/2005 - 09/29/2006	NFP SECURITIES, INC. (CRD#:42046)	DEERFIELD, IL
B	02/23/2005 - 09/29/2006	NFP SECURITIES, INC. (CRD#:42046)	DEERFIELD, IL
IA	04/06/2005 - 04/14/2005	NFP SECURITIES, INC. (CRD#:42046)	DEERFIELD, IL

SGL FINANCIAL, LLC (CRD#:158023)

BUFFALO GROVE, IL

08/02/2022 - 08/03/2022

NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881)

SKOKIE, IL

04/04/2022 - 07/20/2022

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881)

SKOKIE, IL

03/04/2022 - 07/20/2022

VERITY ASSET MANAGEMENT (CRD#:158667)

HIGHLAND PARK, IL

09/10/2021 - 12/01/2021

BROOKSTONE CAPITAL MANAGEMENT LLC (CRD#:141413)

Highland Park, IL

07/13/2020 - 10/16/2020

GRADIENT ADVISORS, LLC (CRD#:152665)

Highland Park, IL

11/27/2018 - 04/30/2019

WATERSTONE FINANCIAL GROUP, INC. (CRD#:10078)

BANNOCKBURN, IL

01/03/2007 - 12/31/2008

NFP SECURITIES, INC. (CRD#:42046)

DEERFIELD, IL

11/01/2005 - 09/29/2006

NFP SECURITIES, INC. (CRD#:42046)

DEERFIELD, IL

02/23/2005 - 09/29/2006

NFP SECURITIES, INC. (CRD#:42046)

DEERFIELD, IL

04/06/2005 - 04/14/2005

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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.

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.