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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

ALAN ROBERT ROSENBERG

Advisor at RAYMOND JAMES & ASSOCIATES, INC.

GARDEN CITY, NY | ROCKVILLE CENTRE, NY

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Search this name across graphsid dfx:ria:3f04180e-b87e-0b83-182b-deb566246d21

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 27, 2003 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: RAYMOND JAMES & ASSOCIATES, INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 27, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jul 9, 2021
First registration: Feb 27, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 4156676

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
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Aug 17, 2021	n/a	yes	GARDEN CITY, NY\|ROCKVILLE CENTRE, NY	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 18, 2006	Sep 13, 2007	no	GARDEN CITY, NY\|GARDEN CITY, NY\|NEW YORK, NY	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Oct 20, 2004	May 3, 2005	no	GARDEN CITY, NY	Previous registration
QUICK & REILLY, INC.	n/a	Feb 27, 2003	Oct 20, 2004	no	GARDEN CITY, NY	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	RAYMOND JAMES & ASSOCIATES, INC.	Sep 13, 2007	Aug 17, 2021	5,087	Firm change after gap	Wirehouse to ibd
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 3, 2005	Jul 18, 2006	441	Firm change after gap	Other
QUICK & REILLY, INC.	BANC OF AMERICA INVESTMENT SERVICES, INC.	Oct 20, 2004	Oct 20, 2004	0	Bulk transfer	Other

Relationships

Registered with (4)

→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: current employment
Aug 17, 2021 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 18, 2006 to Sep 13, 2007factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Oct 20, 2004 to May 3, 2005factForm ADV
→ QUICK & REILLY, INC.Registered adviserregistration: previous registration
Feb 27, 2003 to Oct 20, 2004factForm ADV

Dated events

No dated event names this entity yet.