Richard Neil Rosenberg

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2010 → Present
  Lpl Financial Llc
  Glenview, IL

Previous Registrations

• 2002-11-11 → 2004-01-12
  Equitable Advisors, Llc
  Northbrook, IL

Other Businesses

1. 07/21/2015 - ROSENBERG WEALTH MANAGEMENT - INV REL - 2640 PATRIOT BLVD., SUITE 220, GLENVIEW, IL 60026 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - START 08/01/2015 - 80 HOURS PER MONTH, 40 DURING TRADING

Exams

• S66 Uniform Combined State Law Examination
  2002-10-15