# Carol A. Rosenstock

Carol A. Rosenstock is an investment adviser representative (IAR) with state registration records since 2000, appearing at 9 firms. Currently registered with TRANSAMERICA FINANCIAL ADVISORS, LLC.

## Registration history (10)

| Firm | From | To | Current |
| --- | --- | --- | --- |
| [TRANSAMERICA FINANCIAL ADVISORS, LLC](https://search.stillhousedata.com/firm/16164) | 2021-06-03 | present | Yes |
| [J.P. MORGAN SECURITIES LLC](https://search.stillhousedata.com/firm/79) | 2021-01-08 | 2021-05-26 | — |
| [BELPOINTE ASSET MANAGEMENT LLC](https://search.stillhousedata.com/firm/143440) | 2020-09-22 | 2020-12-18 | — |
| [BELPOINTE ASSET MANAGEMENT LLC](https://search.stillhousedata.com/firm/143440) | 2020-01-28 | 2020-08-18 | — |
| [MORGAN STANLEY SMITH BARNEY LLC](https://search.stillhousedata.com/firm/149777) | 2018-01-19 | 2019-08-16 | — |
| [THREE LAKES SECURITIES, LLC](https://search.stillhousedata.com/firm/152147) | 2011-11-09 | 2017-08-25 | — |
| [COORDINATED CAPITAL SECURITIES, INC.](https://search.stillhousedata.com/firm/14762) | 2011-11-01 | 2017-08-24 | — |
| [MML INVESTORS SERVICES, LLC](https://search.stillhousedata.com/firm/10409) | 2008-07-18 | 2009-12-31 | — |
| [BANC ONE SECURITIES CORPORATION](https://search.stillhousedata.com/firm/16999) | 2002-11-01 | 2003-10-03 | — |
| [M&I INVESTMENT MANAGEMENT CORP.](https://search.stillhousedata.com/firm/109802) | 2000-08-01 | 2003-01-08 | — |

## More

- [This representative on SEC IAPD (source of record)](https://adviserinfo.sec.gov/individual/summary/4034414)
- [This page as markdown (for LLM agents)](https://search.stillhousedata.com/rep/4034414.md)
- [Search all SEC filings, advisers and people on Adviser Search](https://search.stillhousedata.com/)

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Source: public SEC filing data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.