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DAVID MICHAEL ROSE
DAVID M ROSE
CRD#: 1252396
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 51 JFK PARKWAY
SUITE 303
SHORT HILLS, NJ 07078
Registration History
199019952000200520102015202020252 FIRMS1992 - 1994 (2 years)2 FIRMS2009 - 2014 (4 years)2 FIRMS2014 - Present (10 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1995 - 2009 (14 years)BZWEIG SECURITIES CORP. (CRD# 22898)1989 - 1991 (2 years)BDREXEL BURNHAM LAMBERT INCORPO... (CRD# 7323)1987 - 1989 (2 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2002 - 2009 (7 years)
License(s)

State Registrations

B
Alabama 3/21/2014

B
New York 3/21/2014

B
California 3/21/2014

B
North Carolina 3/21/2014

B
Connecticut 3/21/2014

B
Pennsylvania 3/21/2014

B
Delaware 5/17/2016

B
Rhode Island 11/17/2016

B
Florida 3/21/2014

B
Texas 3/21/2014

B
Maryland 3/21/2014

IA
Texas 4/16/2014

B
Massachusetts 3/21/2014

B
Virginia 3/21/2014

B
New Jersey 3/21/2014

B
Washington 11/17/2016

IA
New Jersey 3/21/2014

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
51 JFK PARKWAY SUITE 303, SHORT HILLS, NJ 07078
51 John F. Kennedy Parkway SUITE 240, SHORT HILLS, NJ 07078
Registered with this firm since 3/21/2014

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
51 JFK PARKWAY SUITE 303, SHORT HILLS, NJ 07078
51 John F. Kennedy Parkway SUITE 240, SHORT HILLS, NJ 07078
Registered with this firm since 3/21/2014

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/01/2009 - 04/02/2014 MORGAN STANLEY (CRD#:149777) MORRISTOWN, NJ
B
06/01/2009 - 04/02/2014 MORGAN STANLEY (CRD#:149777) MORRISTOWN, NJ
IA
05/08/2002 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PARAMUS, NJ
B
02/11/1995 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PARAMUS, NJ
B
01/14/1992 - 12/16/1994 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
01/14/1992 - 12/16/1994 LEHMAN GOVERNMENT SECURITIES INC. (CRD#:19655)
B
10/11/1989 - 12/24/1991 ZWEIG SECURITIES CORP. (CRD#:22898) HARTFORD, CT
B
06/23/1987 - 09/05/1989 DREXEL BURNHAM LAMBERT INCORPORATED (CRD#:7323)
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Disclosures
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