Eliot G. 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.
Eliot Girard Rosenthal, who also goes by Eliot Rosenthal, was a registered financial professional .
Eliot is a previously registered financial professional and started their career in finance in 1988. Eliot had worked at 15 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2013 - December 20, 2013
BROOKVILLE CAPITAL PARTNERS
September 30, 2010 - March 28, 2011
BROOKVILLE CAPITAL PARTNERS
August 19, 2008 - December 24, 2008
EKN FINANCIAL SERVICES INC.
June 21, 2006 - January 11, 2007
VISION SECURITIES INC.
May 27, 2005 - September 7, 2005
INVESTORS CAPITAL CORP.
December 1, 2001 - December 31, 2004
SOURCE CAPITAL GROUP, INC.
December 20, 1999 - December 1, 2001
MERIT CAPITAL ASSOCIATES, INC.
September 17, 1999 - January 10, 2000
DALTON KENT SECURITIES GROUP, INC.
October 10, 1997 - October 19, 1999
THE THERMOPYLAE GROUP, INC.
May 7, 1997 - June 18, 1997
R.D. WHITE & CO., INC.
January 12, 1995 - May 9, 1997
FIRST CAMBRIDGE SECURITIES CORPORATION
September 6, 1994 - January 9, 1995
OPPENHEIMER & CO. INC.
November 9, 1992 - September 21, 1994
GRUNTAL & CO., L.L.C.
January 18, 1991 - February 21, 1991
LEHMAN BROTHERS INC.
December 6, 1988 - October 2, 1989
F.D. ROBERTS SECURITIES, INC.
July 20, 1988 - December 7, 1988
AMERIMUTUAL CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BROOKVILLE CAPITAL PARTNERS
CRD#: 102380 / SEC#: , 8-52119
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANTERBURY SECURITIES HOLDINGS INC. | SOLE MEMBER | |
| IEZZONI, GABRIEL ANTHONY | CHIEF COMPLIANCE OFFICER, OPTIONS PRINCIPAL | 1243767 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 5 |
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.
