Mark Alan Rosenberg

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:

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

Current Employers

Employment History

• 11/2008 → Present
  Ubs Financial Services Inc
  New York, NY

Previous Registrations

• 2007-04-02 → 2008-12-01
  Morgan Stanley & Co. Llc
  Purchase, NY
• 1999-08-05 → 2007-04-02
  Morgan Stanley Dw Inc.
  Purchase, NY
  Purchase, NY

Other Businesses

Mikva Challenge./ Address; 200 S Michigan Ave Suite 1000 Chicago IL United States 60604./ Investment Required: No./ Nature: Empower youth through action civics./ Role: Officer./ Duty: Chair of the Nat'l Board. Conduct quarterly board meetings, oversee changes to major policies and coordinate with Chicago and Washington DC Advisory Boards./ Start Date: 9/22/2023./ Time Required: No.

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-07-18
• S63 Uniform Securities Agent State Law Examination
  1983-12-27

Other Names

• Mark A Mikva-Rosenberg