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CFP

David Rosenberg

Morgan Stanley
41 Years of Experience
Beverly Hills, CA
3 DisclosuresBroker
View SEC Summary
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David Rosenberg is a CFP-designated registered investment advisor at Morgan Stanley, based in Beverly Hills, CA, with 41 years of industry experience. David is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, High Net Worth, Investment Management, Retirement Planning. Their firm serves 2,703,720 clients with $2000B in assets under management.

Morgan Stanley
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23172 advisors
Number of Clients
2,703,720 clients
Average Client Portfolio
$726K average
Assets Under Management
$1961.9B

Fee Structure

Investment management only (planning not offered)

Morgan Stanley Smith Barney LLC charges a fee for its consulting services, which is generally payable quarterly in advance. The maximum fee for the services is $500,000, and fees are negotiable between the client and their private wealth advisor.

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Location

9665 Wilshire Boulevard, Suite 600, Beverly Hills, CA, 90212

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History

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 2023
Denied
Employment Separation After Allegations
April 2008
Customer Dispute
April 2008
Settled
View Full SEC ReportHow to Read Disclosures
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 5 mos
Morgan StanleyBroker
May 2021 - Present · 5 yrs 5 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
April 2008 - May 2021 · 13 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
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 Registrations19 states
AZCAFLHIILMAMINCNHNJNVNYOHPATNTXVAWAWY
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.
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