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DR

David K. Rosuck

PACIFIC SELECT DISTRIBUTORS
Newport Beach, CA 92660
Some features on this profile are disabled
CRD#: 2129736
DR

Professional summary

David Keith Rosuck is a registered financial professional currently at PACIFIC SELECT DISTRIBUTORS, LLC located in Newport Beach, California.

David is registered as a RR (Registered Representative) and started their career in finance in 1991. David has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Keith Rosuck's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 13, 2005 - Present

PACIFIC SELECT DISTRIBUTORS, LLC

Office #1: 700 Newport Center Drive, Newport Beach, CA 92660
BD
CRD#: 4452
Newport Beach, CA
Past

March 11, 2004 - December 31, 2004

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
BOSTON, MA
Past

January 9, 2003 - September 4, 2003

SLD AMERICA EQUITIES, INC.

BD
CRD#: 36259
WEST CHESTER, PA
Past

December 17, 2001 - December 31, 2002

CETERA ADVISORS LLC

BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past

May 16, 2000 - November 16, 2001

SLD AMERICA EQUITIES, INC.

BD
CRD#: 36259
WEST CHESTER, PA
Past

November 10, 1999 - April 19, 2000

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
CONSHOHOCKEN, PA
Past

March 14, 1991 - November 22, 1999

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

March 14, 1991 - November 22, 1999

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(1/13/2005)
RR
Indiana
(8/22/2017)
RR
Iowa
(12/26/2019)
RR
Kentucky
(8/22/2017)
RR
Minnesota
(12/26/2019)
RR
Missouri
(1/4/2022)
RR
North Dakota
(12/26/2019)
RR
Ohio
(8/22/2017)
RR
South Dakota
(12/26/2019)
RR
Wisconsin
(12/26/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/25/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/3/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/12/1991
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 2/18/2011
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PS
PACIFIC SELECT DISTRIBUTORS, LLC
PACIFIC EQUITY SALES COMPANY | PACIFIC SELECT DISTRIBUTORS, LLC | PACIFIC SELECT DISTRIBUTORS, INC. | PACIFIC SECURITIES | PACIFIC MUTUAL DISTRIBUTORS, INC. | PACIFIC MUTUAL DISTRIBURTORS, INC.

CRD#: 4452 / SEC#: , 8-15264

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
700 Newport Center Drive, Newport Beach, CA 92660-6397
Mailing Address
700 Newport Center Drive, Newport Beach, CA 92660-6397
Phone number
(949) 219-6579
Established
Delaware since 01/01/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PACIFIC LIFE INSURANCE COMPANYPARENT OF APPLICANT
DARE, BARBARA ALYCEVICE PRESIDENT5074108
KISSEL, GEOFFREY PCHIEF EXECUTIVE OFFICER7499710
LA ROQUE, SUZANNE MARIEASSISTANT VICE PRESIDENT, CHIEF COMPLIANCE OFFICER4222767
SMITH, TREVOR TIMOTHYVICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATING OFFICER4844953
YAMAUCHI, STARLA CHINVICE PRESIDENT, CORPORATE SECRETARY7721024

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452Newport Beach, CA 92660

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