Eric Rosen, financial advisor Princeton NJ

Eric Rosen

CRD Number: 1326033
Current Firm: Ubs Financial Services Inc.

Eric Rosen (CRD# 1326033) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Princeton, NJ and has over 38 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Princeton, NJ Jul 2000 - Current 23
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1985
S65 NASAA Investment Advisors Law Examination Aug 2001
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.

Get Details on the FINRA Advisor Check site
Contact Info for Eric M. Rosen
Phone Number: 201-352-3000
Registered State(s):
  • NJ
  • PA
  • TX
By the Numbers
  • Total Assets Under Management
    600,809
    MILLIONS
  • Total Number of Accounts
    1,077,471
    ACCOUNTS
  • Average Account Value
    $557,610
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
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
  • Security ratings or pricing services
  • Educational seminars/workshops
Types of Clients
Registered States

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

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