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David Bruce Rosenstrock

Wharton Wealth Planning, LLC

New York, NY

CRD 5234422

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Employer firm

Wharton Wealth Planning, LLC CRD 319716

$36.9M regulatory AUM 4 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers
Wharton Wealth Planning, Llc

3 Columbus Circle Floor 15, New York, NY 10019 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-05-04
  • NY RA
    APPROVED
    Since 2022-05-04

Branch Locations

3 Columbus Circle Floor 15, New York, NY 10019 • 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
Sage Capital Management Llc New York NY 09/2014 06/2021
National Philanthropic Trust Jenkintown PA 06/2021 02/2022
Wharton Wealth Planning, Llc New York NY 03/2022 Present
  • 09/2014 → 06/2021
    Sage Capital Management Llc
    New York, NY
  • 06/2021 → 02/2022
    National Philanthropic Trust
    Jenkintown, PA
  • 03/2022 → Present
    Wharton Wealth Planning, Llc
    New York, NY
Other Businesses

MR. ROSENSTROCK HAS AN ACTIVE INSURANCE LICENSE BUT IS NOT OFFERING INSURANCE SERVICES AT THIS TIME.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2006-10-27
  • S63 Uniform Securities Agent State Law Examination
    2006-10-27
Designations
  • Certified Financial Planner

View on SEC IAPD

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