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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Alan Rosenberg is an investment advisor representative at UBS Financial Services Inc., with over 39 years of experience in the financial services industry. Mark has been registered with FINRA since 1983 and holds a number of securities licenses and registrations, including Series 3, 7, 8, 15, 63 and 65. Mark is also a registered investment advisor in a number of states, including California, Illinois, Indiana, Maine, and Texas. Mark's previous work experience includes roles at Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc.. Mark's areas of expertise include portfolio management for individuals and businesses, financial planning, pension consulting, and educational seminars. Mark also serves as a board member for the Albert Pick Jr Fund and the Mikva Challenge.
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
IL
10/12/2010 - Present
UBS Financial Services Inc. (CHICAGO IL)
NY
04/02/2007 - 12/01/2008
MORGAN STANLEY & CO. INCORPORATED (PURCHASE NY)
NY
01/09/1984 - 04/02/2007
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 07/18/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/27/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/02/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/23/1987
Series 3 - National Commodity Futures Examination
BC
Issued 02/12/1985
Series 15 - Foreign Currency Options Examination
BC
Issued 12/17/1983
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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