Unclaimed Profile

David A Rosenzweig

FOOTHILL SECURITIES, INC.·SANTA CLARA, California

SIE, Series 4, Series 7, Series 8, Series 63, Series 65Clean record29 years registeredFOOTHILL SECURITIES, INC.

2900 LAKESIDE DRIVE, SANTA CLARA, CA 95054CRD# 2597702Firm CRD# 1027

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

David A Rosenzweig · SANTA CLARA, CA

Registration

CRD #2597702 · FOOTHILL SECURITIES, INC. · 29 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: FOOTHILL SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

Sep 2017 – Nov 2019

SAN FRANCISCO, CA

FOOTHILL SECURITIES, INC.

Dec 2013 – Dec 2016

Santa Clara, CA

FIRST REPUBLIC INVESTMENT MANAGEMENT, INC.

Jul 2010 – Mar 2013

SAN FRANCISCO, CA

FIRST REPUBLIC WEALTH ADVISORS, LLC

May 2009 – Sep 2010

SAN FRANCISCO, CA

CHARLES SCHWAB & CO., INC.

Jul 1997 – May 2007

SAN FRANCISCO, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 8

Series 63

Series 65

Registration record

First registered · July 8, 1997

Years registered · 29

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

FOOTHILL SECURITIES, INC.

CRD 1027 · SEC 801-57293

AUM

$1.2B

Regulatory assets under management

Employees

268

6,953 client accounts

Services offered by FOOTHILL SECURITIES, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Market timing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at FOOTHILL SECURITIES, INC. →

Introduction

Speak with David A

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if David A is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in SANTA CLARA?

Browse all registered financial advisors in SANTA CLARA, California or claim this profile if it's yours.

Browse SANTA CLARA Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does David A Rosenzweig offer?

David A Rosenzweig specializes in Financial Planning, Investment Management, Wealth Management.

What are David A Rosenzweig's credentials?

David A Rosenzweig is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is David A Rosenzweig located?

David A Rosenzweig is based in SANTA CLARA, California, last registered with FOOTHILL SECURITIES, INC..

How does David A Rosenzweig charge for services?

David A Rosenzweig's firm is compensated through percentage of aum, hourly charges, subscription fees, commissions, other: third party asset management fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is FOOTHILL SECURITIES, INC.?

FOOTHILL SECURITIES, INC. has approximately 268 employees and manages $1.2B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →