Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Darrell? Claim Your ProfileDarrell Rosenthal is a financial advisor who has been in the industry since 1989. Darrell is currently registered with UBS Financial Services Inc. in Houston, TX. Before joining UBS Financial Services Inc., Darrell was registered with Oppenheimer & Co. Inc., CIBC World Markets Corp., Smith Barney Inc., PaineWebber Incorporated, and Lehman Brothers Inc. Darrell has a broad range of experience and specializes in investments, financial planning, and retirement planning.
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
TX
02/03/2009 - Present
UBS Financial Services Inc. (HOUSTON TX)
TX
01/03/2003 - 02/03/2009
OPPENHEIMER & CO. INC. (HOUSTON TX)
NY
10/13/1994 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
10/04/1993 - 10/19/1994
SMITH BARNEY INC. (NEW YORK NY)
NJ
09/17/1990 - 10/15/1993
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
09/19/1989 - 10/03/1990
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 01/11/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/25/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/09/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 09/16/1989
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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