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DR

David P. Rosenthal

Some features on this profile are disabled
CRD#: 2231814
DR

Professional summary

David Philipp Rosenthal was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, David had worked at 6 firms, which includes BROOKSTREET SECURITIES CORPORATION, FIRST SECURITIES USA INC., FIRST ASSOCIATED SECURITIES GROUP INC., SMITH CULVER INVESTMENTS, TRANSAMERICA FINANCIAL ADVISORS LLC, WOODBURY FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David P Rosenthal

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 27, 2004 - June 9, 2004

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
SAN JUAN CAPISTRANO, CA
Past

November 5, 1999 - June 9, 2004

FIRST SECURITIES USA, INC.

BD
CRD#: 39986
IRVINE, CA
Past

October 8, 1997 - November 5, 1999

FIRST ASSOCIATED SECURITIES GROUP, INC.

BD
CRD#: 20597
CHICO, CA
Past

September 25, 1997 - December 31, 1997

FIRST SECURITIES USA, INC.

BD
CRD#: 39986
IRVINE, CA
Past

April 24, 1997 - August 29, 1997

SMITH CULVER INVESTMENTS

BD
CRD#: 24007
SAN FRANCISCO, CA
Past

March 5, 1993 - January 24, 1997

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
Past

April 23, 1992 - February 12, 1993

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/29/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/27/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/21/1992
Investment Company Products/Variable Contracts Representative Examination

Current Firm

BS
BROOKSTREET SECURITIES CORPORATION
BROOKSTREET CAPITAL MANAGEMENT | TMG SECURITIES, INC. | FINANCIAL MANAGEMENT ADVISORS,INC. | BROOKSTREET SECURITIES CORPORATION

CRD#: 14667 / SEC#: , 8-31032

BD
Cancelled by SEC on 10/26/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 05/24/1982
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEESHAREHOLDER / OWNER
BROOKS, STANLEY CLIFTONPRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST31684

Disclosures

Regulatory Event25
Civil Event1
Arbitration22

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.

Company Information

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

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