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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Rosegarten is a financial advisor at UBS Financial Services Inc., and has been with the firm since January of 1995. David Rosegarten has experience in the financial industry since April 1987. David Rosegarten has also previously worked for KIDDER, PEABODY & CO. INCORPORATED and SMITH BARNEY SHEARSON INC.. David Rosegarten is registered with FINRA, in both New York and Texas. David Rosegarten holds a series 3, 7, 9, 10, 63 and SIE licenses. David Rosegarten's firm manages over $50 billion in assets for over 21,000 clients. The firm specializes in providing investment advice to individuals, businesses, corporations, investment companies, and pension plans. UBS Financial Services Inc. also provides financial planning, portfolio management, and educational seminars.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NY
01/28/1995 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
01/24/1994 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NY
05/23/1989 - 02/11/1994
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NA
04/29/1987 - 05/22/1989
DREXEL BURNHAM LAMBERT INCORPORATED
BC
Issued 01/16/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/27/1992
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/29/1987
Series 3 - National Commodity Futures Examination
BC
Issued 04/25/1987
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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