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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Howard? Claim Your ProfileHoward Michael Rosen has been an active investment advisor representative for over 40 years. Howard started his career at E.F. Hutton & Company Inc, then moved to First Heritage Corporation in 1981. After working with Prudential Securities Incorporated and Morgan Stanley DW Inc., Howard began his career with UBS Financial Services Inc in 2001. Howard has specialized in providing financial advice to individuals, families, and businesses, and has a broad range of experience in various investment products and services. Howard is registered with the states of Michigan, Texas, and many others. Howard is also a registered investment adviser with the state of Michigan.
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
MI
01/14/2016 - Present
UBS Financial Services Inc. (FARMINGTON HILLS MI)
NY
08/16/1994 - 07/09/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
01/18/1988 - 08/17/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
09/25/1981 - 02/12/1988
E. F. HUTTON & COMPANY INC
NA
04/13/1981 - 09/12/1981
FIRST HERITAGE CORPORATION
IA
Issued 12/14/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/20/1981
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 03/08/1989
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/16/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 04/11/1981
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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