Mitchell Jeffries Rosengarten

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
ME	RA	APPROVED	2014-07-21
TX	RA	APPROVED_RES	2009-09-12
VT	RA	APPROVED	2009-03-19

ME RA
APPROVED

Since 2014-07-21
TX RA
APPROVED_RES

Since 2009-09-12
VT RA
APPROVED

Since 2009-03-19

Branch Locations

One City Center 10Th Floor, Portland, ME 04101 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc	Rutland	VT	07/2013	Present

07/2013 → Present

Ubs Financial Services Inc

Rutland, VT

Previous Registrations

2004-04-12 → 2009-04-13

Citigroup Global Markets Inc.

Rutland, VT

Manchester, VT

Rutland, VT
2002-05-24 → 2004-02-24

A. G. Edwards & Sons, Inc.

Oxnard, CA

Other Businesses

RAINBOW BUSINESS PROFESSIONAL ALLIANCE / PO BOX 11148 PORTLAND, MAINE 04104 / OTHER COMMUNITY BUILDING (SOCIALLY) / NETWORKING/ SCHOLARSHIP / OFFICER / REPORT FINANCIAL UPDATES TO THE BOARD / START DATE 07/17/2013 /

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2004-03-19
S63	Uniform Securities Agent State Law Examination	2002-04-11

S65 Uniform Investment Adviser Law Examination

2004-03-19
S63 Uniform Securities Agent State Law Examination

2002-04-11

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews