Steven J. 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.
Steven Jay Rosenthal was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1999. Steven had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2016 - June 27, 2017
TRUIST ADVISORY SERVICES, INC.
September 21, 2015 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
September 17, 2015 - June 27, 2017
TRUIST INVESTMENT SERVICES, INC.
February 28, 2013 - February 3, 2015
WELLS FARGO CLEARING SERVICES, LLC
March 26, 2009 - February 3, 2015
WELLS FARGO CLEARING SERVICES, LLC
September 10, 2001 - March 13, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 6, 1999 - March 22, 2000
BANC OF AMERICA INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 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.
