Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid J Rosa is a registered representative with Neuberger Berman BD LLC and has been in the financial services industry since December 1997. David is registered in New York and has passed the Series 63, Series 7, and SIE exams. David’s previous experience includes working as a registered representative at Lehman Brothers Inc.
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.
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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.
A percentage of the total value of assets under management is charged.
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2
NY
09/19/2008 - Present
Neuberger Berman BD LLC (NEW YORK NY)
NY
03/28/2003 - 09/24/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
09/22/1997 - 12/19/2002
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 01/09/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/19/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
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