David Andrew Rosegarten

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

• 01/1995 → Present
  Ubs Financial Services Inc.
  New York, NY

Other Businesses

Leni Goodman 2016 Revocable Trust DTD 12/21/2016 / 11 Riverside Drive New York, NY 10023-2502 / Private Trust as part of Estate Plan and child protection of assets / General Trustee / executor duties to administer and ultimately payout the Trust according to Grantors wishes / No / Active / Start Date 9/2/2019 American Counsel on Exercise4851 Paramount DrSan Diego, Ca92123, "Non for profit counsel on bringing heathy excecise and training to the public, I will sit on the Audit Committee. This is not the finance comm. We will review the year end numbers and talk with outside auditor. It is our job to report to the board if there are any issues with the auditors.", committee member, start date-5/25/2007.

Exams

• S63 Uniform Securities Agent State Law Examination
  1987-01-16

Other Names

• David A Rosegarten