Mark Alan 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

• 01/1996 → 08/2017
  Financial West Group
  Westlake Village, CA
• 08/2017 → 06/2025
  Western International Securities, Inc.
  Pasadena, CA
• 06/2025 → Present
  Lpl Financial Llc
  Scotts Valley, CA

Previous Registrations

• 2017-08-21 → 2025-06-05
  Western International Securities, Inc.
  Northridge, CA
  Scotts Valley, CA
• 2013-08-01 → 2017-08-21
  Financial West Group
  Northridge, CA
  Scotts Valley, CA
  Scotts Valley, CA
  Irvine, CA

Other Businesses

1- 06/2025 - Mark Rosenberg - Tax Prep/Accounting/CPA - CTEC-Registered Tax Preparer (California Tax Education Council) - Investment Related - At Reported Business Location(s) - Start Date 01/04/2021 - 5 hours per month/ 0 hours during trading 2- 06/2025 - Mark Rosenberg - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 11/09/2009 - 1 hours per month/ 0 hours during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2013-07-31
• S63 Uniform Securities Agent State Law Examination
  1983-03-15