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Nathan Howard Rosenberg

LPl Financial LLC

Coral Springs, FL

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2018-02-15
  • FL RA
    APPROVED
    Since 2018-02-15

Branch Locations

11776 W Sample Rd Ste 104, Coral Springs, FL 33065 • United States

Disclosures

1 disclosure category 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 No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Self Employed Coral Springs FL 09/1995 Present
Invest Financial Corporation Coral Springs FL 06/2009 02/2018
Lpl Financial Llc Coral Springs FL 02/2018 Present
  • 09/1995 → Present
    Self Employed
    Coral Springs, FL
  • 06/2009 → 02/2018
    Invest Financial Corporation
    Coral Springs, FL
  • 02/2018 → Present
    Lpl Financial Llc
    Coral Springs, FL
Previous Registrations
  • 2009-07-07 → 2018-02-15
    Invest Financial Corporation
    Clearwater, FL
    Coral Springs, FL
    Appleton, WI
  • 2001-01-24 → 2009-07-13
    Transamerica Financial Advisors, Llc
    St. Petersburg, FL
    Clearwater, FL
    Coral Springs, FL
Other Businesses

1. 02/14/2018 - COMPLETE ANALYSIS, INC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - President - Start Date 3/26/09 - 160 Hours Per Month.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2004-01-07
  • S63 Uniform Securities Agent State Law Examination
    2004-01-07

View on SEC IAPD

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Other Investors

BRIAN ARTHUR RUBINO
DAVID G KUFFNER
RORY MICHELLE DOYLE
MICHAEL DAVID FROHMAN
BARBARA ANN MIKULSKI
PAUL DAVID SJOGREN
BLAKE M HALLOCK
TERESA MILDRED MCARDLE

Other Offices

MORGAN STANLEY · CORAL SPRINGS, FL
CHARLES SCHWAB & CO., INC. · Coral Springs, FL
PROSPERITUS WEALTH ADVISORS · CORAL SPRINGS, FL
KOVACK ADVISORS, INC. · Coral Springs, FL
STATE FARM INVESTMENT MANAGEMENT CORP. · Coral Springs, FL
AMERIPRISE FINANCIAL SERVICES, LLC · Coral Springs, FL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · CORAL SPRINGS, FL
CETERA INVESTMENT ADVISERS LLC · CORAL SPRINGS, FL

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