Joseph Marc Rosen

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2023-09-13
PA	RA	APPROVED	2021-11-01
TX	RA	APPROVED_RES	2019-05-31
NJ	RA	APPROVED	2018-10-26

CA RA
APPROVED

Since 2023-09-13
PA RA
APPROVED

Since 2021-11-01
TX RA
APPROVED_RES

Since 2019-05-31
NJ RA
APPROVED

Since 2018-10-26

Branch Locations

100 Overlook Center Suite 303, Princeton, NJ 08540 • United States

1735 Market Street, 44Th Floor Mellon Bank Ctr., Philadelphia, PA 19103 • United States

Philadelphia, PA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Ubs Financial Services	Los Angeles	CA	10/2015	09/2018
Ubs Financial Services Inc.	Princeton	NJ	10/2018	Present

10/2015 → 09/2018

Ubs Financial Services

Los Angeles, CA
10/2018 → Present

Ubs Financial Services Inc.

Princeton, NJ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2015-11-23
S63	Uniform Securities Agent State Law Examination	2013-08-28

S65 Uniform Investment Adviser Law Examination

2015-11-23
S63 Uniform Securities Agent State Law Examination

2013-08-28

View on SEC IAPD