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Current Employers
Tortoise Investment Management, Llc

2 Westchester Park Drive Suite 215, White Plains, NY 10604 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-09
  • NY RA
    APPROVED
    Since 2021-08-09

Branch Locations

2 Westchester Park Drive Suite 215, White Plains, NY 10604 • United States

Chappaqua, NY • 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
Tortoise Investment Management, Llc White Plains NY 09/2019 Present
Unemployed Chappaqua NY 11/2018 10/2019
Wells Fargo White Plains NY 09/2017 10/2018
Unemployed Chappaqua NY 08/2016 08/2017
Jp Morgan Chase New York NY 05/2011 07/2017
  • 09/2019 → Present
    White Plains, NY
  • 11/2018 → 10/2019
    Unemployed
    Chappaqua, NY
  • 09/2017 → 10/2018
    Wells Fargo
    White Plains, NY
  • 08/2016 → 08/2017
    Unemployed
    Chappaqua, NY
  • 05/2011 → 07/2017
    Jp Morgan Chase
    New York, NY
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2008-06-02
  • S63 Uniform Securities Agent State Law Examination
    2008-06-02
Designations
Other Names
  • Vicki Rosenberg
  • Vicki Ellen Rosenberg

View on SEC IAPD

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