Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daniel? Claim Your ProfileDaniel Rothenberg is a financial advisor at RBC Capital Markets, LLC. Daniel has been in the industry since 2006. Prior to joining RBC Capital Markets, LLC, Daniel worked for UBS Financial Services Inc., Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. Daniel holds a Series 7, 31 and SIE license. Daniel has been registered with the state of California since 2006. Daniel is also registered with the state of Texas. Daniel is a member of the Board of Directors of Huntington Library, Art Museum and Botanical Gardens, One Arroyo Foundation and Rose Bowl Legacy Foundation. Daniel is also a member of the Investment Committee of the WHH Foundation. Daniel specializes in providing financial advice to high net worth individuals, corporations, charitable organizations, pension and profit sharing plans and pooled investment vehicles.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
CA
12/04/2019 - Present
RBC Capital Markets, LLC (Los Angeles CA)
CA
11/01/2010 - 12/26/2019
UBS FINANCIAL SERVICES INC. (LOS ANGELES CA)
CA
06/01/2009 - 11/12/2010
MORGAN STANLEY SMITH BARNEY (LOS ANGELES CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (LOS ANGELES CA)
CA
06/13/2006 - 04/02/2007
MORGAN STANLEY DW INC. (LOS ANGELES CA)
BOTH
Issued 06/26/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/27/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 06/12/2006
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Daniel Rothenberg is the right advisor for you? Invested Better is here to help.
