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Gary Steven Rosenberg

Ubs Financial Services Inc.

Henderson, NV

Henderson, NV

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2012-07-09
NV RA APPROVED 2008-12-05
  • TX RA
    APPROVED
    Since 2012-07-09
  • NV RA
    APPROVED
    Since 2008-12-05

Branch Locations

2475 Village View Drive, Henderson, NV 89074 • United States

Henderson, NV • 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
OrganizationCityStateFromTo
Ubs Financial Services Inc Henderson NV 12/2008 Present
Previous Registrations
  • 2007-04-02 → 2008-12-08
    Morgan Stanley & Co. Llc
    Henderson, NV
  • 2002-09-05 → 2007-04-02
    Morgan Stanley Dw Inc.
    Henderson, NV
    Henderson, NV
Other Businesses

FINRA/NASD / ARBITRATOR / START DATE 06/01/2009.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-03-04
S63 Uniform Securities Agent State Law Examination 1984-07-12
  • S65 Uniform Investment Adviser Law Examination
    1994-03-04
  • S63 Uniform Securities Agent State Law Examination
    1984-07-12
Designations

View on SEC IAPD

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THE WEALTH CONSULTING GROUP
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Other Offices

EDWARD JONES · HENDERSON, NV
J.P. MORGAN SECURITIES LLC · HENDERSON, NV
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · HENDERSON, NV
WELLS FARGO CLEARING SERVICES, LLC · HENDERSON, NV
FOUNDATIONS INVESTMENT ADVISORS LLC · HENDERSON, NV
THE WEALTH CONSULTING GROUP · Henderson, NV
THRIVE WISE WEALTH · HENDERSON, NV
CHARLES SCHWAB & CO., INC. · Henderson, NV

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