Michael H. Rosenthal

FORMULATE FINANCIAL LLC

Boca Raton, FL

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CRD#: 2309908

Professional summary

Michael Herbert Rosenthal is a registered financial advisor currently at FORMULATE FINANCIAL LLC located in Boca Raton, Florida.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Michael has worked at 6 firms and has passed the Series 66, SIE and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Herbert Rosenthal's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 24, 2024 - Present

FORMULATE FINANCIAL LLC

RIA

CRD#: 331026

Boca Raton, FL

Past

June 1, 2022 - July 1, 2024

ONEPOINT BFG WEALTH PARTNERS

RIA

CRD#: 318366

Chappaqua, NY

Past

June 19, 2018 - June 8, 2022

PRIVATE ADVISOR GROUP, LLC

RIA

CRD#: 155216

Syosset, NY

Past

December 19, 2016 - April 2, 2018

ADVISORY SERVICES NETWORK

RIA

CRD#: 146051

SYOSSET, NY

Past

June 29, 2016 - August 30, 2016

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

RYE BROOK, NY

Past

June 8, 2016 - August 30, 2016

PARK AVENUE SECURITIES LLC

CRD#: 46173

RYE BROOK, NY

Past

December 13, 1993 - June 4, 1996

SMITH NEW COURT, INC.

CRD#: 10510

NEW YORK, 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".

FORMULATE FINANCIAL LLC

FORMULATE FINANCIAL | FORMULATE FINANCIAL LLC

CRD#: 331026 / SEC#: 801-130229

RIA

Registered Investment Advisory firm - (5/16/2024 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.

Highlighted states indicate IAR registrations

IAR

Florida
(5/29/2024)

IAR

New York
(5/24/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/29/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/30/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/7/2016

General Securities Representative Examination

Current Firm

FORMULATE FINANCIAL LLC

FORMULATE FINANCIAL | FORMULATE FINANCIAL LLC

CRD#: 331026 / SEC#: 801-130229

RIA

Registered Investment Advisory firm - (5/16/2024 Approved)

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Contact information

Main Address

Boca Raton, FL

Mailing Address

Phone number

(561) 269-0330

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORMULATE FINANCIAL ADV PART 2A (1/31/2025)

Regulatory assets under management

Total Number of Accounts	83
AUM (Assets Under Management)	$ 213,071,613

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.

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Michael H. Rosenthal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Herbert Rosenthal's CRS (Customer Relationship Summary).

Certified licenses

Experience

ONEPOINT BFG WEALTH PARTNERS

PRIVATE ADVISOR GROUP, LLC

ADVISORY SERVICES NETWORK

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

SMITH NEW COURT, INC.

Primary Firm SEC Registration

FORMULATE FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/29/2016

SIE

Date: 8/30/2016

Series 7

Date: 6/7/2016

Current Firm

FORMULATE FINANCIAL LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FORMULATE FINANCIAL LLC

TRUST BUT VERIFY

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