Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Alan Rosen is a financial advisor with Brean Capital, LLC. David has been in the financial industry for over 29 years. David is registered with the Financial Industry Regulatory Authority (FINRA) and holds Series 7 and Series 63 licenses. David is registered in 31 states, including California, Florida, and New York. Prior to joining Brean Capital, LLC, David worked at Gleacher & Company Securities, Inc. and Broadpoint Descap.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
09/05/2012 - Present
Brean Capital, LLC (NEW YORK NY)
FL
10/16/2008 - 06/13/2012
GLEACHER & COMPANY SECURITIES, INC. (FT. LAUDERDALE FL)
NY
03/03/1994 - 10/16/2008
BROADPOINT DESCAP (NEW YORK NY)
NY
11/18/1993 - 01/06/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BC
Issued 12/01/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/17/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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