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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

ROBERT ROSENBERG

Advisor at CETERA INVESTMENT ADVISERS LLC

SARASOTA, FL

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Search this name across graphsid dfx:ria:2f1538e4-079e-e0f8-784a-721620ad05c9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Dec 12, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 1, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jul 1, 2005
First registration: Dec 12, 2006
Dual registered: yes, broker-dealer
Other names: ROBERT D. ROSENBERG|BOBBY ROSENBERG|ROBERT ROSENBERG|ROBERT DOUGLAS ROSENBERG
IAPD individual key: 4832723

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Apr 28, 2023	n/a	yes	SARASOTA, FL	Current employment
SUMMIT FINANCIAL GROUP INC	Former SEC adviser	Apr 3, 2013	May 20, 2021	no	SARASOTA, FL	Previous registration
WADDELL & REED	Former SEC adviser	Dec 12, 2011	Mar 27, 2013	no	SARASOTA, FL\|CHARLEROI, PA	Previous registration
ANDERSON & STRUDWICK, INCORPORATED	Former SEC adviser	Aug 2, 2010	Dec 9, 2011	no	LONGWOOD, FL\|SARASOTA, FL\|RICHMOND, VA\|RICHMOND, VA	Previous registration
ROSENBERG ASSET MANAGEMENT	n/a	Feb 6, 2009	Dec 6, 2011	no	SARASOTA, FL	Previous registration
JESUP & LAMONT SECURITIES CORP	n/a	Dec 23, 2008	Jul 7, 2010	no	SARASOTA, FL\|BOCA RATON, FL	Previous registration
JESUP & LAMONT ADVISORS	n/a	Jan 5, 2007	Dec 31, 2008	no	SARASOTA, FL	Previous registration
ROSENBERG ASSET MANAGEMENT	n/a	Dec 12, 2006	Dec 31, 2008	no	SARASOTA, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SUMMIT FINANCIAL GROUP INC	CETERA INVESTMENT ADVISERS LLC	May 20, 2021	Apr 28, 2023	708	Bulk transfer	Ibd to ibd
WADDELL & REED	SUMMIT FINANCIAL GROUP INC	Mar 27, 2013	Apr 3, 2013	7	Firm change	Other
ANDERSON & STRUDWICK, INCORPORATED	WADDELL & REED	Dec 9, 2011	Dec 12, 2011	3	Firm change	Other
ROSENBERG ASSET MANAGEMENT	ANDERSON & STRUDWICK, INCORPORATED	Dec 6, 2011	Aug 2, 2010	-491	Firm change after gap	Other
JESUP & LAMONT SECURITIES CORP	ROSENBERG ASSET MANAGEMENT	Jul 7, 2010	Feb 6, 2009	-516	Firm change after gap	Other
JESUP & LAMONT ADVISORS	JESUP & LAMONT SECURITIES CORP	Dec 31, 2008	Dec 23, 2008	-8	Firm change	Other
ROSENBERG ASSET MANAGEMENT	JESUP & LAMONT ADVISORS	Dec 31, 2008	Jan 5, 2007	-726	Firm change after gap	Other

Relationships

Registered with (7)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Apr 28, 2023 to presentfactForm ADV
→ SUMMIT FINANCIAL GROUP INCRegistered adviserregistration: previous registration
Apr 3, 2013 to May 20, 2021factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Dec 12, 2011 to Mar 27, 2013factForm ADV
→ ANDERSON & STRUDWICK, INCORPORATEDRegistered adviserregistration: previous registration
Aug 2, 2010 to Dec 9, 2011factForm ADV
→ ROSENBERG ASSET MANAGEMENTRegistered adviserregistration: previous registration
Feb 6, 2009 to Dec 6, 2011factForm ADV
→ JESUP & LAMONT SECURITIES CORPRegistered adviserregistration: previous registration
Dec 23, 2008 to Jul 7, 2010factForm ADV
→ JESUP & LAMONT ADVISORSRegistered adviserregistration: previous registration
Jan 5, 2007 to Dec 31, 2008factForm ADV

Dated events

No dated event names this entity yet.