David Rosenberg, financial advisor Encino CA
83 score

David Rosenberg

CRD Number: 862693
Current Firm: D.a. Davidson & Company

David Rosenberg (CRD# 862693) is an Investment Advisor Representative working at D.a. Davidson & Company in Encino, CA and has over 30 years of experience in the finance industry.

Similar Advisors
David Fried, financial advisor Encino CA
David R. Fried
CRD# 2753945
Fried Asset Management, Inc.
Score
104
Similar Advisors
Morris Amiri, financial advisor Encino CA
Morris M. Amiri
CRD# 4266581
Dash Investments
Score
103
Similar Advisors
Roger Conde, financial advisor Encino CA
Roger Conde
CRD# 2477484
Ira Wealth Management
Score
100
Company Name Location Dates Years
D.a. Davidson & Company Encino, CA Nov 2013 - Current 3
Crowell, Weedon & Company Encino, CA Oct 1995 - Nov 2013 18
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1986
S66 NASAA Uniform Combined State Law Examination Oct 2013
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for David B. Rosenberg
Phone Number: 406-727-4200
Firm Website: http://www.dadco.com
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    9,918
    MILLIONS
  • Total Number of Accounts
    33,323
    ACCOUNTS
  • Average Account Value
    $297,645
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

Ready to hire a financial advisor? Get competitive proposals from David Rosenberg and other advisors.
BADGES
83

About Wealthminder

Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.

Wealthminder is a database of every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.

If you are looking for a specific financial advisor and you can’t find them on Wealthminder, it’s likely that they are either exclusively a broker or are unlicensed - please contact us and we’ll try to help!

Finding a Financial Advisor through Wealthminder

Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.

The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.

Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.

You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.

Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.