David M. Rosenberg
Professional summary
David Michael Rosenberg was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial advisor and started their career in finance in 1991. Prior to being barred, David had worked at 6 firms, which includes GLOBAL FINANCIAL ASSET MANAGEMENT LLC, TRANSAMERICA FINANCIAL ADVISORS LLC, MORGAN KEEGAN & COMPANY LLC, UBS FINANCIAL SERVICES INC., CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2003 - September 22, 2004
GLOBAL FINANCIAL ASSET MANAGEMENT, LLC
September 3, 2003 - February 27, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 27, 2003 - February 27, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 26, 1999 - August 29, 2003
MORGAN KEEGAN & COMPANY, LLC
February 26, 1999 - August 29, 2003
MORGAN KEEGAN & COMPANY, LLC
November 4, 1994 - April 1, 1999
UBS FINANCIAL SERVICES INC.
July 31, 1993 - November 11, 1994
CITIGROUP GLOBAL MARKETS INC.
March 20, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
September 5, 1991 - March 25, 1992
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Exams
Current firm
No current employment
Red Flags
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