ER
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Eric Rosen
41 Years of Experience
Princeton, NJ
1 DisclosureBroker
Eric Rosen is a registered investment advisor at UBS Financial Services INC., based in Princeton, NJ, with 41 years of industry experience. Eric is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 1,144,588 clients with $920B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9366 advisors
IM Fee
Planning only
Assets Under Management
$915.8B
Fee Structure
Investment management only (planning not offered)
- Customized Financial Planning Services — Typically ranges from $1,000 to $10,000, with a general range of $500 to $50,000 depending on the scope and complexity of the engagement. Fees up to $100,000 may be permitted for highly complex situations involving relationships with a net worth of $100 million or more.
One-Time Plan:$500 - $50,000
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Location
100 Overlook Center, Suite 400, Princeton, NJ, 08540
Get directionsHistory
Regulatory History (1)
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 2000Denied
Other Business Activities
Eric is a partner, owner, operator, and landlord for Deblyce LLC, a rental real estate company, since 2007.
Employment History
Current Registrations
UBS Financial Services INC.
April 2002 - Present · 24 yrs 6 mos
UBS Financial Services INC.
July 2000 - Present · 26 yrs 3 mos
UBS Financial Services INC.Broker
July 2000 - Present · 26 yrs 3 mos
Previous Registrations
Salomon Smith Barney INC.Broker
July 1993 - July 2000 · 7 yrs
Lehman Brothers INC.Broker
June 1988 - July 1993 · 5 yrs 1 mo
Smith Barney, Harris Upham & CO., IncorporatedBroker
January 1985 - June 1988 · 3 yrs 5 mos
State Registrations35 states
AZCACOCTDCDEFLGAILKSKYMAMDMEMIMNMONCNHNJNVNYOHOKPARISCTNTXVAVTWAWIWVWY
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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