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Rachel Rosenbaum

Ubs Financial Services Inc.

Knoxville, TN

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2026-02-27
  • TN RA
    APPROVED
    Since 2026-02-27

Branch Locations

800 South Gay Street Suite 2600, Knoxville, TN 37929 • 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 Knoxville TN 07/2024 Present
Chick-Fil-A Archer Road Gainesville FL 09/2021 09/2023
Chick-Fil-A Mandarin Jacksonville FL 11/2018 08/2023
University Of Florida Gainesville FL 08/2020 05/2024
Homeschool Jacksonville FL 01/2013 05/2020
  • 07/2024 → Present
    Ubs Financial Services
    Knoxville, TN
  • 09/2021 → 09/2023
    Chick-Fil-A Archer Road
    Gainesville, FL
  • 11/2018 → 08/2023
    Chick-Fil-A Mandarin
    Jacksonville, FL
  • 08/2020 → 05/2024
    University Of Florida
    Gainesville, FL
  • 01/2013 → 05/2020
    Homeschool
    Jacksonville, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-02-27
  • S66 Uniform Combined State Law Examination
    2026-02-27
Other Names
  • Rachel Elizabeth Rosenbaum

View on SEC IAPD

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STATE FARM INVESTMENT MANAGEMENT CORP.
TRUIST ADVISORY SERVICES, INC.
PFS INVESTMENTS INC.
SAGESPRING WEALTH PARTNERS

Other Investors

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JAMES COFFEY
GARY J MORRIS
WILLIAM MICHAEL HOTZFIELD
HUNTER NICHOLSON
ROBERT SASS
JONATHAN LOVE
HUNTER ROCK

Other Offices

STRATEGIC ADVISERS LLC · KNOXVILLE, TN
RAYMOND JAMES & ASSOCIATES, INC. · KNOXVILLE, TN
EDWARD JONES · FARRAGUT, TN
FIFTH THIRD SECURITIES, INC. · KNOXVILLE, TN
STATE FARM INVESTMENT MANAGEMENT CORP. · Farragut, TN
TRUIST ADVISORY SERVICES, INC. · KNOXVILLE, TN
PFS INVESTMENTS INC. · KNOXVILLE, TN
EDWARD JONES · KNOXVILLE, TN

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