Richard L. 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 Louis Rosenthal, who also goes by Richard L Rosenthal, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1988. Richard had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2014 - June 18, 2015
MORGAN BAY INVESTMENT ADVISORS, LLC
August 8, 2011 - April 24, 2012
GARDNER RICH, L.L.C.
January 10, 2007 - June 19, 2015
GAR WOOD SECURITIES, LLC
April 12, 2001 - January 5, 2011
CCM SECURITIES, LLC
May 14, 1997 - June 8, 1999
MORGAN STANLEY & CO. LLC
December 20, 1989 - May 9, 1997
MORGAN STANLEY DW INC.
September 6, 1988 - December 2, 1989
CARGILL INVESTOR SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 1/23/2001
Limited Representative-Equity Trader ExamCurrent Firm
MORGAN BAY INVESTMENT ADVISORS, LLC
CRD#: 170808 / SEC#:
Contact information
Red Flags
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