David Lawrence Rosenberg

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2008 → 05/2021
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Century City, CA
• 09/2009 → 05/2021
  Bank Of America, N.A.
  Century City, CA
• 05/2021 → Present
  Morgan Stanley Smith Barney Llc
  Beverly Hills, CA
• 05/2021 → Present
  Morgan Stanley Private Bank, N.A.
  New York, NY

Previous Registrations

• 2008-04-25 → 2021-05-17
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Los Angeles, CA
• 1999-10-15 → 2008-05-05
  J.P. Morgan Securities Llc
  Los Angeles, CA
  Los Angeles, CA

Other Businesses

* 439935-Carthay Racing, LLC; Investment related -Yes; Los Angeles, California; Automotive/Transportation, Investment/Finance/Banking; Sole Proprietor/Owner (proprietor, partner, officer, director, employee, trustee, agent); 01/2001; During business hours: 0; After business hours: 1; Investment Decisions/Advice

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-10-07
• S63 Uniform Securities Agent State Law Examination
  1986-02-25

Designations

• Certified Financial Planner

Other Names

• David L Rosenberg