David 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.
David Allan Rosenthal, CFP®, ChFC®, CIMA®, CLU®, CPWA® was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1983. David had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 22, Series 6 and Series 24 exams.
Services Offered
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1990
Experience
June 21, 2006 - July 21, 2026
UBS FINANCIAL SERVICES INC.
June 19, 2006 - July 21, 2026
UBS FINANCIAL SERVICES INC.
August 30, 2005 - May 17, 2006
ROSENTHAL, DAVID A.
April 13, 2005 - June 8, 2005
SCHNEIDER DOWNS WEALTH MANAGEMENT ADVISORS, LP
September 20, 2002 - March 24, 2005
WELLS FARGO CLEARING SERVICES, LLC
September 20, 2002 - March 24, 2005
WELLS FARGO CLEARING SERVICES, LLC
October 23, 2000 - September 18, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 30, 1998 - June 1, 2000
GUARANTY BROKERAGE SERVICES, INC.
May 26, 1995 - February 7, 1996
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
October 31, 1991 - May 10, 1995
WALNUT STREET SECURITIES, INC.
March 11, 1991 - October 15, 1991
CUNA BROKERAGE SERVICES, INC.
April 24, 1990 - March 21, 1991
WALNUT STREET SECURITIES, INC.
June 18, 1989 - February 27, 1990
SUNAMERICA SECURITIES, INC.
July 17, 1987 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
April 10, 1987 - June 23, 1987
PAMCO SECURITIES AND INSURANCE SERVICES
February 15, 1984 - April 15, 1987
JOHN HANCOCK DISTRIBUTORS LLC
March 24, 1983 - February 25, 1984
G. R. PHELPS & CO., INC.
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
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
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 476 |
| Civil Event | 5 |
| Arbitration | 444 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
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.
