Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Bunim Rosenthal is a financial advisor with UBS Financial Services Inc. David Bunim Rosenthal has been in the industry since 1997 and holds Series 63, 65, 7 and SIE licenses. David Bunim Rosenthal's experience includes previous roles at RAYMOND JAMES & ASSOCIATES, INC., DEUTSCHE BANK SECURITIES INC., FIELDPOINT PRIVATE SECURITIES, LLC, MORGAN STANLEY SMITH BARNEY, and CITIGROUP GLOBAL MARKETS INC. David Bunim Rosenthal's current firm, UBS Financial Services Inc., provides financial planning, pension consulting, educational seminars, and portfolio management for individuals and businesses. The firm manages over $700 billion in assets. David Bunim Rosenthal is registered in 48 states and provides financial services to a variety of clients, including high-net-worth individuals, corporations, charitable organizations, and pension plans.
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
CT
07/26/2022 - Present
UBS Financial Services Inc. (WESTPORT CT)
CT
09/06/2016 - 08/04/2020
RAYMOND JAMES & ASSOCIATES, INC. (Greenwich CT)
CT
02/20/2014 - 09/06/2016
DEUTSCHE BANK SECURITIES INC. (GREENWICH CT)
CT
08/03/2011 - 02/20/2014
FIELDPOINT PRIVATE SECURITIES, LLC (GREENWICH CT)
CT
06/01/2009 - 12/16/2010
MORGAN STANLEY SMITH BARNEY (WESTPORT CT)
CT
11/26/1996 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (WESTPORT CT)
IA
Issued 03/31/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/05/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/25/1996
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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