John A. 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.
John Allen Rosenthal was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2001 - July 12, 2004
THE SEIDLER COMPANIES INCORPORATED
October 26, 2000 - January 2, 2001
INDEPENDENT FINANCIAL GROUP, LLC
July 23, 1996 - October 31, 2000
ROTH CAPITAL PARTNERS, LLC
October 17, 1994 - July 10, 1996
A. G. EDWARDS & SONS, INC.
March 5, 1986 - December 22, 1994
PRUDENTIAL EQUITY GROUP, LLC
October 8, 1982 - March 17, 1986
GFC SECURITIES CORPORATION
June 28, 1982 - August 11, 1982
SECURITIES WEST, 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 SEIDLER COMPANIES INCORPORATED
CRD#: 3911 / SEC#: , 8-14662
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SEIDLER HOLDINGS INCORPORATED | PARENT COMPANY | |
| BECK, PAUL ROBERT | PRESIDENT, CFO, COO, CHIEF COMPLIANCE OFFICER & DIRECTOR | 1288090 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 3 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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