AdvisorOS Directory
Claim Profile
Unclaimed Profile
SR

Stephen Mark Rosenberg

ROSENBERG FINANCIAL GROUP, INC.·WARNER ROBINS, Georgia
SIE, Series 1, Series 3, Series 5, Series 7TO, Series 24, Series 63, Series 65CFP23 years registeredROSENBERG FINANCIAL GROUP, INC.
2517 MOODY ROAD, WARNER ROBINS, GA 31088CRD# 404457Firm CRD# 119314

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Stephen Mark Rosenberg · WARNER ROBINS, GA
Registration
CRD #404457 · ROSENBERG FINANCIAL GROUP, INC. · 23 years registered
Brand Profile
Not yet started
01

Career History

No current investment adviser registration
Last registered firm: ROSENBERG FINANCIAL GROUP, INC.
ROYAL ALLIANCE ASSOCIATES, INC.
Apr 2008 – Dec 2021
WARNER ROBINS, GA
ROSENBERG FINANCIAL GROUP, INC.
Mar 2003 – Dec 2021
WARNER ROBINS, GA
02

Registrations & Exams

FINRA examinations passed
SIE
Series 1
Series 3
Series 5
Series 7TO
Series 24
Series 63
Series 65
Registration record
First registered · March 3, 2003
Years registered · 23
Professional designation · CFP
03

Disclosure History

1994Customer Dispute·Settled
1976Regulatory·Final

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

04

Firm Overview

Firm
ROSENBERG FINANCIAL GROUP, INC.
CRD 119314 · SEC 801-64247
AUM
$31M
Regulatory assets under management
Employees
5
168 client accounts
Services offered by ROSENBERG FINANCIAL GROUP, INC.
Per Form ADV
Financial planning
Portfolio management (individuals)
Security ratings or pricing services
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at ROSENBERG FINANCIAL GROUP, INC. →
Introduction

Speak with Stephen

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Stephen is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in WARNER ROBINS?

Browse all registered financial advisors in WARNER ROBINS, Georgia or claim this profile if it's yours.

Browse WARNER ROBINS AdvisorsAre you this advisor? Claim profile
05

Frequently Asked Questions

What services does Stephen Mark Rosenberg offer?
Stephen Mark Rosenberg specializes in Financial Planning, Investment Management.
What are Stephen Mark Rosenberg's credentials?
Stephen Mark Rosenberg holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.
Where is Stephen Mark Rosenberg located?
Stephen Mark Rosenberg is based in WARNER ROBINS, Georgia, last registered with ROSENBERG FINANCIAL GROUP, INC..
How does Stephen Mark Rosenberg charge for services?
Stephen Mark Rosenberg's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is ROSENBERG FINANCIAL GROUP, INC.?
ROSENBERG FINANCIAL GROUP, INC. has approximately 5 employees and manages $31M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
Not sure what to look for in an advisor?
Try our free Advisor Match Quiz →

Browse by Specialty

Investment ManagementRetirement PlanningWealth ManagementFinancial PlanningFee-Only AdvisoryFinancial Education
Nearby cities in Georgia
ATLANTA (759)ALPHARETTA (101)MARIETTA (43)ROSWELL (29)DULUTH (28)COLUMBUS (22)ATHENS (22)THOMASVILLE (21)AUGUSTA (19)SAVANNAH (17)
City Guides
ATLANTA GuideALPHARETTA GuideMARIETTA GuideROSWELL GuideDULUTH Guide
Research
Advisor Fees in GeorgiaNational Fee Analysis
Request removal of this profile