RR
Robert D. Rosenthal
FIRST LONG ISLAND INVESTORS
Jericho, NY 11753
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CRD#: 1439033
RR
Professional summary
Robert Daniel Rosenthal is a registered financial advisor currently at FIRST LONG ISLAND INVESTORS, LLC located in Jericho, New York and FLI INVESTORS, LLC located in Jericho, New York.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Robert has worked at 2 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
APPLICANT IS AN OWNER, CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER OF FIRST LONG ISLAND INVESTORS, LLC ("FLI") A REGISTERED INVESTMENT ADVISOR WHICH HAS A PRINCIPAL OFFICE AT THE SAME ADDRESS AS REGISTRANT. APPLICANT HAS BEEN EMPLOYED FULL TIME AT FLI SINCE OCTOBER 1983. APPLICANT HAS BEEN A LEAD DIRECTOR OF SYSTEMAX, A DIRECT MARKETER, SINCE JULY 1995, 3 HOURS/MO, 2 DURING SECURITIES TRADING HOURS. APPLICANT IS A MEMBER OF THE EXECUTIVE COMMITTEE AND THE BOARD OF TRUSTEES OF NORTH SHORE LONG ISLAND JEWISH HEALTH SYSTEM, A NOT FOR PROFIT HEALTH SYSTEM, AS WELL AS CO-CHAIRMAN OF ITS INVESTMENT COMMITTEE, VICE CHAIRMAN OF THE NORTH SHORE LONG ISLAND JEWISH HEALTH SYSTEM FOUNDATION AND CO-CHAIRMAN OF ITS CARDIOLOGY LEADERSHIP COMMITTEE. HIS PARTICIPATION BEGAN IN JANUARY 1995. 10 HOURS/MO, 2 DURING SECURITES TRADING HOURS. APPLICANT IS A VICE CHAIR OF THE ENDOWMENT COMMITTEE OF HOFSTRA UNIVERSITY, A PRIVATE UNIVERSITY. 5 HOURS/MO, 2 DURING SECURITIES TRADING HOURS Applicant is the trustee or co-trustee of trusts for the benefit of certain members of the Entenmann family and the Waldbaum family. His relationship with these families began before the inception of FLI in 1983. Applicant devotes 10 hours/month, 5 during securities trading hours. Applicant is also the trustee of certain of trusts for his own family members. Applicant devotes 2 hours month, none during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Daniel Rosenthal's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 31, 2021 - Present
FIRST LONG ISLAND INVESTORS, LLC
Office #1: One Jericho Plaza Suite 201, Jericho, NY 11753RIA
CRD#: 167212
Jericho, NY
Current
December 18, 1986 - Present
FLI INVESTORS, LLC
Office #1: 1 Jericho Plaza - Suite 201, Jericho, NY 11753-1673Office #2: 1 Jericho Plaza - Suite 201, Jericho, NY 11753-1673BD
CRD#: 17128
Jericho, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FL
FIRST LONG ISLAND INVESTORS, LLC
FIRST LONG ISLAND INVESTORS, LLC | FLI MANAGEMENT CORPORATION (RELYING ADVISER) | FLI FUNDS MANAGEMENT CO., LP (RELYING ADVISER) | FLI FUNDS MANAGEMENT CO. VII, LP (RELYING ADVISER) | FLI FUNDS MANAGEMENT CO. VI, LP (RELYING ADVISER) | FLI FUNDS MANAGEMENT CO. V, LP (RELYING ADVISER) | FLI FUNDS MANAGEMENT CO. IV, LP (RELYING ADVISER) | FLI FUNDS MANAGEMENT CO. III, LP (RELYING ADVISER) | FLI FUNDS MANAGEMENT CO. II, LP (RELYING ADVISER)
CRD#: 167212 / SEC#: 801-21607
RIA
Registered Investment Advisory firm - (7/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(5/21/1991)
RR
New York(10/29/1986)
IAR
New York(8/31/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FL
FIRST LONG ISLAND INVESTORS, LLC
FIRST LONG ISLAND INVESTORS, LLC | FLI MANAGEMENT CORPORATION (RELYING ADVISER) | FLI FUNDS MANAGEMENT CO., LP (RELYING ADVISER) | FLI FUNDS MANAGEMENT CO. VII, LP (RELYING ADVISER) | FLI FUNDS MANAGEMENT CO. VI, LP (RELYING ADVISER) | FLI FUNDS MANAGEMENT CO. V, LP (RELYING ADVISER) | FLI FUNDS MANAGEMENT CO. IV, LP (RELYING ADVISER) | FLI FUNDS MANAGEMENT CO. III, LP (RELYING ADVISER) | FLI FUNDS MANAGEMENT CO. II, LP (RELYING ADVISER)
CRD#: 167212 / SEC#: 801-21607
RIA
Registered Investment Advisory firm - (7/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
One Jericho Plaza Suite 201, Jericho, NY 11753-1673
Mailing Address
Phone number
(516) 935-1200
Established
Firm type
Fiscal year end
# of Employees
24
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 881 |
| AUM (Assets Under Management) | $ 1,708,156,301 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
