Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Adam? Claim Your ProfileAdam Rosenthal is a financial advisor with UBS Financial Services Inc. Adam has been in the financial industry since 1993. Adam is licensed in multiple states and holds various industry certifications, including the Series 7, Series 3, Series 63, and Series 65 exams. Adam has experience working with a variety of clients, including individuals, corporations, charitable organizations, and pension plans. Adam provides a wide range of financial services to clients, including financial planning, portfolio management, and investment advice.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NY
06/01/2023 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
09/09/1996 - 10/02/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
07/07/1995 - 07/10/1996
CITICORP SECURITIES, INC. (NEW YORK NY)
TX
09/01/1992 - 12/31/1994
M.G.S.I. SECURITIES, INC. (HOUSTON TX)
IA
Issued 11/04/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/05/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/26/1996
Series 3 - National Commodity Futures Examination
BC
Issued 09/23/1992
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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