David Rosenberg

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

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

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
SC	RA	APPROVED	2025-06-12
CT	RA	APPROVED	2001-05-10

SC RA
APPROVED

Since 2025-06-12
CT RA
APPROVED

Since 2001-05-10

Branch Locations

Seabrook Island, SC • United States

68 S Service Rd Ste 200 [C1-Rbo], Melville, NY 11747 • United States

310 Heights Rd, Darien, CT 06820 • 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

Organization	City	State	From	To
Wells Fargo Advisors Llc	Darien	CT	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Darien	CT	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Darien, CT
11/2016 → Present

Wells Fargo Clearing Services, Llc

Darien, CT

Other Businesses

WELLESLEY HILLS PARTNERS LLC; INVESTMENT RELATED; WESTON, CT; 50% OWNERSHIP; INVEST IN REAL ESTATE AND SECURITIES; START DATE 01/01/2006; 1 HR PER MONTH; 0 HRS DURING TRADING; DUTIES - OVERSEE COMPANY ACTVIITIES, INTERACT WITH CPA AND LEGAL COUNSEL AS NEEDED. RENTAL PROPERTY; INVESTMENT RELATED; PRINCEVILLE, HI; 100% OWNERSHIP WITH SPOUSE; START DATE = 11/01/2013; NO TIME DEVOTED. CO-TRUSTEE OF TRUST FBO SISTER; INV. RELAED; WESTON, CT; START DATE 12/2013. CO-TRUSTEE OF TRUST FBO BROTHER; INV. RELAED; WESTON, CT; START DATE 12/2013. CO-TRUSTEE OF TRUST FBO SELF; INV. RELAED; WESTON, CT; START DATE 12/2013. TROUT BROOK PARTNERS, LLP; NOT INVESTMENT RELATED; WESTON,CT; 100% OWNERSHIP WITH SPOUSE; START DATE 12/04/2020; NUMBER OF HOURS PER MONTH 0.5; NUMBER OF HOURS DURING TRADING 0; REAL ESTATE PARTNERSHIP.; TRUSTEE FOR DAUGHTER'S TRUST, INV RELATED, WESTON, CT, START: 12/7/2021, 0 HRS/MONTH, 0 HRS DURING TRADING. TRUSTEE FOR FAMILY MEMBER FAMILY TRUST; INV. RELATED; DARIEN, CT; START DATE 8/26/2024; 1 HOUR PER MONTH; 0 HOURS DURING TRADING. TRUSTEE OF TRUST FOR FAMILY MEMBER (1); INV. RELATED; DARIEN, CT; START DATE 8/26/2024; 1 HOUR PER MONTH; 0 HOURS DURING TRADING. TRUSTEE OF TRUST FOR FAMILY MEMBER (2); INV. RELATED; DARIEN, CT; START DATE 8/26/2024; 1 HOUR PER MONTH; 0 HOURS DURING TRADING.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-04
S63	Uniform Securities Agent State Law Examination	1986-07-25

S65 Uniform Investment Adviser Law Examination

1999-12-04
S63 Uniform Securities Agent State Law Examination

1986-07-25

View on SEC IAPD