Alan Robert Rosenberg

Current Employers

Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-08-17

NY RA
APPROVED

Since 2021-08-17

Branch Locations

1461 Franklin Avenue; Suite Lle, Garden City, NY 11530 • United States

Rockville Centre, NY • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Raymond James & Associates, Inc.	Garden City	NY	09/2007	Present

09/2007 → Present

Raymond James & Associates, Inc.

Garden City, NY

Previous Registrations

2006-07-18 → 2007-09-13

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Garden City, NY

Garden City, NY

New York, NY
2004-10-20 → 2005-05-03

Banc Of America Investment Services, Inc.

Garden City, NY
2003-02-27 → 2004-10-20

Quick & Reilly, Inc.

Garden City, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-07-09

S66 Uniform Combined State Law Examination

2021-07-09

View on SEC IAPD

Current Employers

Raymond James & Associates, Inc.

Disclosures

Employment History

Previous Registrations

Exams

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