David S. Rosenthal
WEALTH MANAGEMENT SOLUTIONS
SCOTTSDALE, AZ 85260
Some features on this profile are disabled
CRD#: 2680280
Professional summary
David Scott Rosenthal, CFP® is a registered financial advisor currently at WEALTH MANAGEMENT SOLUTIONS located in Scottsdale, Arizona.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. David has worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.
Core Areas of Focus
Corporate Executives
Divorce Planning
Estate & Generational Planning Issues
Investment Advice with Ongoing Management
Retirement Plan Investment Advice
Tax Planning
Biography
WMS walks clients through a simple, easy to follow financial planning process. The goal is to help clients reach their financial goals by making the right types of decisions.
Question & Answer
What are your service offerings?
Tax Planning
Insurance Planning
Employee and Employer Plan Ben...
Estate Planning
Comprehensive Financial Planni...
Small Business Planning
Divorce Planning
Investment Planning
Retirement Planning
What is your minimum asset requirement?
500K
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.
CRS (Client Relationship Summary) - RIA
Click below to view David Scott Rosenthal's 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®
CFP®
Start date: 2002
Experience
Current
September 2, 2003 - Present
WEALTH MANAGEMENT SOLUTIONS
Office #1: 8550 E Shea Blvd Suite 130, Scottsdale, AZ 85260RIA
CRD#: 127517
SCOTTSDALE, AZ
Past
August 24, 2001 - July 8, 2003
CHOREO, LLC
RIA
CRD#: 111221
PHOENIX, AZ
Past
July 19, 2001 - May 22, 2003
BIRCHTREE FINANCIAL SERVICES LLC
BD
CRD#: 15014
MINNEAPOLIS, MN
Past
November 22, 1995 - March 12, 1996
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
WEALTH MANAGEMENT SOLUTIONS
WEALTH MANAGEMENT SOLUTIONS | WEALTH MANAGEMENT SOLUTIONS, LLC
CRD#: 127517 / SEC#: 801-122994
RIA
Registered Investment Advisory firm - (1/18/2022 Approved)Arizona
Registered Investment Advisory firm - (4/7/2022 Terminated)California
Registered Investment Advisory firm - (5/7/2022 Terminated)Texas
Registered Investment Advisory firm - (3/22/2023 Terminated)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
Arizona(9/2/2003)
IAR
California(6/25/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
WEALTH MANAGEMENT SOLUTIONS
WEALTH MANAGEMENT SOLUTIONS | WEALTH MANAGEMENT SOLUTIONS, LLC
CRD#: 127517 / SEC#: 801-122994
RIA
Registered Investment Advisory firm - (1/18/2022 Approved)Arizona
Registered Investment Advisory firm - (4/7/2022 Terminated)California
Registered Investment Advisory firm - (5/7/2022 Terminated)Texas
Registered Investment Advisory firm - (3/22/2023 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
8550 E. Shea Boulevard, Suite 130, Scottsdale, AZ 85260
Mailing Address
Phone number
(480) 609-4334
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 507 |
| AUM (Assets Under Management) | $ 155,180,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/31/2025 | ||
| 10/30/2023 | ||
| 04/26/2023 |
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.
