David Rozene, financial advisor Westborough MA
90 score

David Rozene

CRD Number: 6007120
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

David Rozene (CRD# 6007120) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Westborough, MA and has over 4 years of experience in the finance industry.

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Company Name Location Dates Years
Merrill Lynch, Pierce, Fenner & Smith Incorporated Westborough, MA Sep 2015 - Current 1
Uber San Francisco, CA Jul 2015 - Sep 2015 < 1
Bulwark Construction Services Mahwah, NJ Apr 2015 - Sep 2015 < 1
Edward Jones St Louis, MO Aug 2012 - Apr 2015 2
Keller Williams Village Square Realty Ridgewood, NJ Feb 2012 - Dec 2012 < 1
Bulwark Construction Services, Inc. New Orleans, LA Feb 2006 - Aug 2012 6
John Carris Investments New York, NY Feb 2012 - Jun 2012 < 1
Quality Business Solutions, Inc. Travelers Rest, SC Jan 2009 - Jul 2011 2
Hopf Holding, Inc. Glen Rock, NJ May 2006 - Aug 2008 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 2012
S66 NASAA Uniform Combined State Law Examination Sep 2012
Contact Info for David J. Rozene
Phone Number: 800-637-7455
Registered State(s):
  • CT
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
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 pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
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, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
90
Clean Record
This advisor has a clean track record with regulators.

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