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Inactive

Richard Alan Rosenberg

Mariner

New York, NY

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Current Employers
Mariner

5700 W. 112Th Street Suite 500, Overland Park, KS 66211 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-10
  • NY RA
    APPROVED
    Since 2021-06-10

Branch Locations

1500 Broadway, 28Th Floor, New York, NY 10036 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Mariner Wealth Advisors-Nyc, Llc New York NY 01/2003 03/2018
Mariner Wealth Advisors New York NY 03/2018 Present
  • 01/2003 → 03/2018
    Mariner Wealth Advisors-Nyc, Llc
    New York, NY
  • 03/2018 → Present
    Mariner Wealth Advisors
    New York, NY
Previous Registrations
  • 2014-03-28 → 2018-03-31
    Mariner Wealth Advisors
    Overland Park, KS
    New York, NY
  • 2011-03-10 → 2014-03-18
    Rr Advisory Group, Llc
    New York, NY
  • 2007-03-26 → 2009-12-31
    Rr Advisory Group, Llc
    New York, NY
  • 2004-10-26 → 2006-12-31
    Rr Advisory Group, Llc
    New York, NY
Other Businesses

New York University; not investment related, New York, Adjunct Professor, start date; 1/22/2024, 10 hours per month, 10 hours during trading hours, teach an estate planning class at NYU Masters in Financial planning program.

Designations

View on SEC IAPD

Other Firms

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Other Offices

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