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Detailed Report
ALLEN R ROSENBERG
ALLEN ROBERT ROSENBERG, ALLEN ROSENBERG
CRD#: 502758
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 100 N 18TH ST 22ND FL
TWO LOGAN SQUARE
PHILADELPHIA, PA 19103
Registration History
19801985199019952000200520102015202020252 FIRMS2018 - Present (6 years)BMORGAN STANLEY (CRD# 149777)2009 - 2018 (9 years)BMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2008 - 2009 (<1 year)BWACHOVIA SECURITIES, LLC (CRD# 19616)1999 - 2008 (8 years)BFIRST UNION CAPITAL MARKETS CORP. (CRD# 6124)1997 - 1999 (2 years)BAMERICAN EAGLE INVESTMENTS, INC. (CRD# 36025)1994 - 1997 (2 years)BHALPERT AND COMPANY, INC. (CRD# 7094)1979 - 1994 (15 years)IAMORGAN STANLEY (CRD# 149777)2010 - 2018 (8 years)
License(s)

State Registrations

B
Arizona 11/28/2018
IA
New Jersey 6/25/2024
B
California 11/28/2018
B
New Mexico 11/28/2018
B
Colorado 3/23/2021
B
New York 11/28/2018
B
Connecticut 11/30/2018
B
Oregon 11/29/2018
B
Delaware 11/30/2018
B
Pennsylvania 11/28/2018
B
Florida 12/3/2018
IA
Pennsylvania 11/28/2018
IA
Florida 1/3/2019
B
Rhode Island 11/28/2018
B
Maine 11/29/2018
B
South Carolina 12/2/2020
B
Maryland 11/28/2018
B
Texas 11/28/2018
B
Massachusetts 12/5/2018
IA
Texas 11/29/2018
B
New Jersey 11/28/2018
B
Virginia 11/28/2018

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
WELLS FARGO ADVISORS (CRD#:19616)
100 N 18TH ST 22ND FL TWO LOGAN SQUARE, PHILADELPHIA, PA 19103
Ocean City, NJ
Registered with this firm since 11/28/2018
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
100 N 18TH ST 22ND FL TWO LOGAN SQUARE, PHILADELPHIA, PA 19103
Ocean City, NJ
Registered with this firm since 11/28/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/22/2010 - 11/29/2018 MORGAN STANLEY (CRD#:149777) PHILADELPHIA, PA
B
 06/01/2009 - 11/29/2018 MORGAN STANLEY (CRD#:149777) PHILADELPHIA, PA
B
 08/29/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) PHILADELPHIA, PA
B
 10/01/1999 - 09/02/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) PHILADELPHIA, PA
B
 05/23/1997 - 10/01/1999 FIRST UNION CAPITAL MARKETS CORP. (CRD#:6124) CHARLOTTE, NC
B
 07/05/1994 - 05/14/1997 AMERICAN EAGLE INVESTMENTS, INC. (CRD#:36025) PHILADELPHIA, PA
B
 01/04/1979 - 06/22/1994 HALPERT AND COMPANY, INC. (CRD#:7094) MILLBURN, 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.