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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

EDWARD MARTIN ROSENBERG

Advisor at CETERA INVESTMENT ADVISERS LLC

SARASOTA, FL

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Search this name across graphsid dfx:ria:b86ffba4-d0a7-4841-26ab-9c4dfe5dfb20

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Mar 26, 1999 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: May 9, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: May 9, 1988
First registration: Mar 26, 1999
Dual registered: yes, broker-dealer
Other names: ED ROSENBERG|EDWARD ROSENBERG
IAPD individual key: 1224716

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	Jun 2, 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 26, 2013	no	CHARLEROI, PA\|SARASOTA, FL	Previous registration
ROSENBERG ASSET MANAGEMENT	n/a	Oct 1, 2009	Dec 6, 2011	no	SARASOTA, FL	Previous registration
ROSENBERG ASSET MANAGEMENT	n/a	Oct 29, 2004	Dec 31, 2008	no	SARASOTA , FL	Previous registration
GLOBAL FINANCIAL ASSET MANAGEMENT, LLC	n/a	Dec 19, 2003	Sep 22, 2004	no	SARASOTA, FL	Previous registration
TRANSAMERICA FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Sep 29, 2003	Mar 19, 2004	no	SARASOTA, FL	Previous registration
MORGAN KEEGAN & COMPANY, LLC	Former SEC adviser	Mar 26, 1999	Sep 24, 2003	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	Jun 2, 2023	743	Bulk transfer	Ibd to ibd
WADDELL & REED	SUMMIT FINANCIAL GROUP INC	Mar 26, 2013	Apr 3, 2013	8	Firm change	Other
ROSENBERG ASSET MANAGEMENT	WADDELL & REED	Dec 6, 2011	Dec 12, 2011	6	Firm change	Other
GLOBAL FINANCIAL ASSET MANAGEMENT, LLC	ROSENBERG ASSET MANAGEMENT	Sep 22, 2004	Oct 29, 2004	37	Firm change	Other
TRANSAMERICA FINANCIAL ADVISORS, LLC	GLOBAL FINANCIAL ASSET MANAGEMENT, LLC	Mar 19, 2004	Dec 19, 2003	-91	Firm change after gap	Other
MORGAN KEEGAN & COMPANY, LLC	TRANSAMERICA FINANCIAL ADVISORS, LLC	Sep 24, 2003	Sep 29, 2003	5	Firm change	Other

Relationships

Registered with (7)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jun 2, 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 26, 2013factForm ADV
→ ROSENBERG ASSET MANAGEMENTRegistered adviserregistration: previous registration
Oct 1, 2009 to Dec 6, 2011factForm ADV
→ GLOBAL FINANCIAL ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Dec 19, 2003 to Sep 22, 2004factForm ADV
→ TRANSAMERICA FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Sep 29, 2003 to Mar 19, 2004factForm ADV
→ MORGAN KEEGAN & COMPANY, LLCRegistered adviserregistration: previous registration
Mar 26, 1999 to Sep 24, 2003factForm ADV

Dated events

No dated event names this entity yet.