Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Rosensweet has been in the financial services industry since December 1999. David is currently registered as an Investment Advisor Representative with Charles Schwab & CO., Inc. and is licensed to conduct business in 19 states and the District of Columbia. Previously, David was associated with Ladenburg Thalmann & Co. Inc., AllianceBernstein Investments, Inc., Touchstone Securities, Inc., Cohen & Steers Securities, LLC, Wachovia Securities, LLC, and Prudential Securities Incorporated. David holds the Series 63, 65, 66, and 7 licenses. David specializes in providing financial planning and investment advice to individuals and families. David's primary focus is on helping clients achieve their financial goals through a combination of investment strategies and financial planning techniques.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
NY
04/22/2021 - Present
Charles Schwab & CO., Inc. (New York City NY)
NY
09/17/2013 - 10/27/2015
LADENBURG THALMANN & CO. INC. (NEW YORK NY)
NY
06/15/2010 - 09/20/2013
ALLIANCEBERNSTEIN INVESTMENTS, INC. (NEW YORK NY)
OH
09/20/2007 - 02/23/2010
TOUCHSTONE SECURITIES, INC. (CINCINNATI OH)
NY
06/19/2006 - 09/11/2007
COHEN & STEERS SECURITIES, LLC (NEW YORK NY)
NJ
07/01/2003 - 06/05/2006
WACHOVIA SECURITIES, LLC (PARAMUS NJ)
NY
05/12/1999 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BOTH
Issued 02/23/2016
Series 66 - Uniform Combined State Law Examination
IA
Issued 06/07/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/24/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/11/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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