DR
CFP
DR
CFP
David Rosenberg
40 Years of Experience
Beverly Hills, CA
3 DisclosuresBroker
David Rosenberg is a CFP-designated registered investment advisor at Morgan Stanley, based in Beverly Hills, CA, with 40 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
Loading...
Location
9665 Wilshire Boulevard, Suite 600, Beverly Hills, CA, 90212
Get directionsHistory
Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
August 2023Denied
Employment Separation After Allegations
April 2008Customer Dispute
April 2008Settled
Other Business Activities
David is the sole proprietor/owner of Carthay Racing, LLC since 2001, which is related to automotive/transportation and investment/finance/banking. He spends minimal time on this activity outside of business hours, focusing on investment decisions/advice.
Employment History
Current Registrations
Morgan Stanley
May 2021 - Present · 5 yrs
Morgan StanleyBroker
May 2021 - Present · 5 yrs
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 2008 - May 2021 · 13 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith Incorporated
April 2008 - May 2021 · 13 yrs 1 mo
Bear, Stearns & CO. INC.
October 1999 - May 2008 · 8 yrs 7 mos
Bear, Stearns & CO. INC.Broker
March 1990 - May 2008 · 18 yrs 2 mos
Drexel Burnham Lambert Government Securities INC.Broker
July 1987 - March 1990 · 2 yrs 8 mos
Drexel Burnham Lambert IncorporatedBroker
September 1985 - March 1990 · 4 yrs 6 mos
State Registrations16 states
CAFLHIILMINCNHNJNYOHPATNTXVAWAWY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.