Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Michael Rose is a financial advisor with UBS Financial Services Inc. David has been in the financial services industry since 1987. David holds a Series 7, 63, and 65 securities license and a Series 3 futures license. David also has a Series 9 and Series 10 principal licenses. David is registered to offer investment advisory services in 22 states, including New Jersey, Texas, and New York. David has previously worked for Morgan Stanley, Citigroup Global Markets Inc., Lehman Brothers Inc., Lehman Government Securities Inc., Zweig Securities Corp. and Drexel Burnham Lambert Incorporated. David's primary office is located in Short Hills, NJ. David offers a variety of investment advisory services to individuals, families, businesses, and institutions.
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
NJ
04/16/2014 - Present
UBS Financial Services Inc. (SHORT HILLS NJ)
NJ
06/01/2009 - 04/02/2014
MORGAN STANLEY (MORRISTOWN NJ)
NJ
02/11/1995 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PARAMUS NJ)
NY
01/14/1992 - 12/16/1994
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
01/14/1992 - 12/16/1994
LEHMAN GOVERNMENT SECURITIES INC.
CT
10/11/1989 - 12/24/1991
ZWEIG SECURITIES CORP. (HARTFORD CT)
NA
06/23/1987 - 09/05/1989
DREXEL BURNHAM LAMBERT INCORPORATED
IA
Issued 07/23/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/28/1987
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 02/10/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/31/2005
Series 3 - National Commodity Futures Examination
BC
Issued 06/20/1987
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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