Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid S. Rosenfeld is a financial advisor registered with Charles Schwab & Co., Inc. David is a Series 3, 7, 10 and 63 licensed advisor and has been in the industry since 1998. He is also a Series 65 licensed advisor. David has a strong background in the financial industry and has a wide range of experience working with clients. David S. Rosenfeld is committed to providing his clients with personalized financial advice and guidance to help them reach their financial goals. He is based in Alpharetta, Georgia and is registered with the state of Florida and Georgia. David was previously affiliated with TD Ameritrade, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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
1
2
GA
02/03/2022 - Present
Charles Schwab & CO., Inc. (Alpharetta GA)
GA
04/03/2023 - 05/19/2024
TD AMERITRADE, INC. (Alpharetta GA)
NY
09/10/1998 - 09/21/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 10/22/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/29/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/11/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/15/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/09/1998
Series 7 - General Securities Representative Examination
BC
Issued 06/14/1996
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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