Public records provided by the Financial Industry Regulatory Authority (FINRA) on December 26, 2016 indicate that New York-based Oppenheimer & Company broker/adviser Eric Rosenberg has received resolved or pending customer complaints. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rosenberg (CRD# 1027041).
Eric Rosenberg has spent 37 years in the securities industry and has been registered with Oppenheimer & Company in New York, New York since 2013. Previous registrations include RBC Capital Markets in Parsippany, New Jersey (2009-2013) and JB Hanauer & Company in Parsippany, New Jersey (1982-1009). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 20, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 28, 1982; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on January 16, 1982. He is a registered broker and investment adviser with seven US states and territories: California, Connecticut, Florida, New Jersey, New York, Pennsylvania, and Virginia. His self-regulatory organization (SRO) registrations include Cboe Exchange, FINRA, NYSE Arca, Nasdaq ISE, the Nasdaq Stock Market and the New York Stock Exchange.
According to his BrokerCheck report, Eric Rosenberg has received three customer complaints and was terminated from one former employer.