Richard S. 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.
Richard Seth Rosenthal was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 8 firms and has passed the SIE, Series 99TO and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2021 - December 2, 2024
TD FINANCIAL PRODUCTS LLC
January 10, 2017 - December 2, 2024
TD PRIME SERVICES LLC
August 23, 2016 - December 2, 2024
TD PRIVATE CLIENT WEALTH LLC
August 19, 2014 - December 2, 2024
TD SECURITIES (USA) LLC
December 13, 2011 - August 11, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 3, 2006 - April 15, 2010
FORTIS SECURITIES LLC
March 4, 2004 - October 10, 2006
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
November 3, 2003 - October 10, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 25, 1987 - October 2, 1989
MERRILL LYNCH GOVERNMENT SECURITIES 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
TD FINANCIAL PRODUCTS LLC
CRD#: 154838 / SEC#: , 8-68677
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.) INC. | OWNER | |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| MANNION, MARTIN | CO-HEAD OF ELECTRONIC TRADING | 4830837 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| SCHRAGER, MATTHEW | CO-HEAD OF ELECTRONIC TRADING | 6488305 |
| SUNDRAM, JEFFREY JOSEPH RODRIGUES | CHIEF COMPLIANCE OFFICER | 6191294 |
Red Flags
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