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David Rosen

Securities Compliance Specialist and Attorney

David Rosen is a seasoned professional with over 25 years of experience in the legal aspects of the securities industry, specializing in investment advisory and brokerage compliance with a deep understanding of Dodd Frank regulations.

Apart from his legal expertise, David has a diverse business background, having successfully established and managed a dental practice, as well as overseen a commercial and residential real estate portfolio.

In his role as a securities compliance professional, David is committed to delivering innovative solutions to complex challenges, ensuring top-notch performance in his work.

David's academic achievements include a Master of Business Administration with a focus on finance, a Juris Doctor specializing in banking, corporate, finance, and securities law, and a Bachelor's degree in finance.

He has held senior positions at notable organizations such as the U.S. Securities and Exchange Commission and previously served as a CFO at a general dentistry practice.

Outside of work, David has a passion for globetrotting and spending quality time with his Rhodesian Ridgebacks, with a goal to visit all 50 state capitals in the United States.

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Location

Stevenson Ranch, California, United States