Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Allan Rosenthal is a financial professional with over 30 years of experience in the financial services industry. David is registered with UBS Financial Services Inc. in Houston, Texas and has been with UBS since May of 2014. David is a CERTIFIED FINANCIAL PLANNER™ professional and a CHARTERED FINANCIAL CONSULTANT. David is also a volunteer for the CFP Board Center for Financial Planning Scholarship Review Panel. David holds FINRA Series 6, 7, 22, 24, 31, 63, and 65 licenses. David is also registered in 52 states as an investment advisor representative.
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
06/04/2007 - Present
UBS Financial Services Inc. (HOUSTON TX)
MO
09/20/2002 - 03/24/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
10/23/2000 - 09/18/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MN
07/30/1998 - 06/01/2000
BISYS BROKERAGE SERVICES, INC. (ST. CLOUD MN)
CO
05/26/1995 - 02/07/1996
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC. (GREENWOOD VILLAGE CO)
CA
10/31/1991 - 05/10/1995
WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)
IA
03/11/1991 - 10/15/1991
CUNA BROKERAGE SERVICES, INC. (WAVERLY IA)
CA
04/24/1990 - 03/21/1991
WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)
AZ
06/18/1989 - 02/27/1990
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
NA
07/17/1987 - 06/18/1989
SOUTHMARK FINANCIAL SERVICES, INC.
NA
04/10/1987 - 06/23/1987
PAMCO SECURITIES AND INSURANCE SERVICES
NA
02/15/1984 - 04/15/1987
MANEQUITY, INC.
NA
03/24/1983 - 02/25/1984
CONNECTICUT MUTUAL FINANCIAL SERVICES, INC.
IA
Issued 11/09/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/07/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/19/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/28/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 07/07/1998
Series 7 - General Securities Representative Examination
BC
Issued 01/23/1984
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 03/23/1983
Series 6 - Investment Company Products/Variable Contracts 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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