Mark C. Rosenthal
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark Charles Rosenthal was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1982. Mark had worked at 8 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2015 - December 31, 2016
THE LEADERS GROUP, INC.
August 12, 2013 - December 23, 2013
MML INVESTORS SERVICES, LLC
March 27, 2002 - August 3, 2011
MML INVESTORS SERVICES, LLC
June 18, 1999 - December 10, 2001
HORNOR, TOWNSEND & KENT, LLC
March 31, 1992 - May 13, 1999
NEW ENGLAND SECURITIES
September 21, 1989 - December 31, 1991
TRANSAMERICA SECURITIES SALES CORPORATION
September 21, 1989 - December 31, 1991
TRANSAMERICA FINANCIAL ADVISORS, INC.
January 25, 1983 - December 31, 1989
G. R. PHELPS & CO., INC.
June 28, 1982 - February 17, 1983
SIGNATOR INVESTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
