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Richard Alan Rosenthal

Fidelity Brokerage Services LLC

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About Richard Alan Rosenthal

Richard Alan Rosenthal is a securities professional with over 30 years of experience in the financial services industry. Richard has a strong background in both retail and institutional brokerage services. Currently, Richard is a Registered Representative with Fidelity Brokerage Services LLC. Prior to his current role, Richard held positions with Fidelity Brokerage Services, Inc. and Fidelity Investments Institutional Services Company, Inc. Richard has a broad range of experience in the securities industry, including investment company products, variable contracts, and general securities. Richard holds the Series 6, 7, 8, 9, 10 and 63 licenses.

Firm Information

Richard Rosenthal is currently registered with Fidelity Brokerage Services LLC. Fidelity Brokerage Services LLC is a Limited Liability Company formed on June 8, 2000. The firm is registered in 53 states and is approved by the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

6,116

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Richard Rosenthal’s Registration & Firm History

MA

01/10/2001 - Present

Fidelity Brokerage Services LLC (BOSTON MA)

RI

07/02/1999 - 01/10/2001

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)

RI

03/10/1992 - 05/17/1999

FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)

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Licenses & Designations

BC

Issued 03/16/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/20/1995

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/17/1992

Series 7 - General Securities Representative Examination

BC

Issued 03/09/1992

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

New York Stock Exchange

Disclosures

There are no public disclosures for Richard Alan Rosenthal.
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