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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric Rosen has been in the financial services industry since January 22, 1985. Eric Rosen is currently registered with UBS Financial Services Inc. Eric Rosen has held previous positions with Salomon Smith Barney Inc. and Lehman Brothers Inc. Eric Rosen is licensed in numerous states and holds multiple FINRA and state securities licenses. Eric Rosen's specialties include portfolio management for businesses and individuals, financial planning 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
NJ
10/12/2007 - Present
UBS Financial Services Inc. (PRINCETON NJ)
NY
07/31/1993 - 07/21/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
06/24/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
01/23/1985 - 06/29/1988
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
IA
Issued 08/13/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/08/1985
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 02/06/1989
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/19/1985
Series 7 - General Securities Representative Examination
BC
Issued 07/11/1984
Series 3 - National Commodity Futures 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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