Herbert C. Rosenthal

Some features on this profile are disabled

CRD#: 404701

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.

Herbert Calvert Rosenthal was a registered financial professional .

Herbert is a previously registered financial professional and started their career in finance in 1973. Herbert had worked at 8 firms and has passed the Series 63, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

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.

1) I AM AN INSURANCE AGENT, LICENSED FOR LIFE INSURANCE, HEALTH INSURANCE AND/OR ANNUITY LINES OF BUSINESS WITH UNITED CAPITAL RISK MANAGEMENT. I MAY RECEIVE COMPENSATION FROM INSURANCE COMPANIES FOR THE SALES OF INSURANCE PRODUCTS TO CLIENTS OR OTHER INDIVIDUALS. 2) A DIRECTOR OF THE BOARD OF HEALTH FOR THE NEWTOWN HEALTH DISTRICT; UNPAID 3) TREASURER OF THE HOUSATONIC VALLEY RESOURCE RECOVERY AUTHORITY; UNPAID 4) BOARD OF DIRECTORS OF THE CONNECTICUT CONFERENCE OF MUNICIPALITIES, SINCE 1998 IN AN UNPAID CAPACITY. 5) BOARD OF DIRECTORS OF THE CONNECTICUT INTERLOCAL RISK MANAGEMENT AGENCY SINCE 1999, IN AN UNPAID CAPACITY. 6) A CORPORATOR OF THE NEWTOWN SAVINGS BANK 7) NEWTOWN DEMOCRATIC TOWN COMMITTEE NO COMPENSATION; SINCE 2010 8) PRESIDENT CT COALITION FOR JUSTICE IN EDUCATION FUNDING , NO COMPENSATION

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

August 30, 2016 - June 14, 2023

UNITED CAPITAL FINANCIAL ADVISORS

RIA

CRD#: 134600

WESTPORT, CT

Past

January 4, 2000 - December 31, 2017

SMH CAPITAL INVESTMENTS LLC

CRD#: 24535

FT. WORTH, TX

Past

October 19, 1998 - December 9, 1999

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

January 1, 1991 - October 16, 1998

SMH CAPITAL INVESTMENTS LLC

CRD#: 24535

FT. WORTH, TX

Past

October 27, 1988 - December 24, 2016

WESTPORT RESOURCES MANAGEMENT INC

RIA

CRD#: 105306

NEWTOWN, CT

Past

July 11, 1983 - October 31, 1990

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

May 2, 1977 - June 20, 1983

VP DISTRIBUTORS LLC

CRD#: 3036

Past

September 29, 1975 - June 13, 1977

HOME LIFE INSURANCE COMPANY

CRD#: 4184

Past

April 25, 1973 - November 8, 1975

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

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".

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

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.

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

Series 63

Date: 11/8/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 4/19/1973

Registered Representative Examination

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

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

125 E John Carpenter Frwy Suite 1300, Irving, TX 75062

Mailing Address

Phone number

(972) 822-2055

Established

Firm type

Fiscal year end

# of Employees

271

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UNITED CAPITAL FINANCIAL ADVISORS WRAP FEE PROGRAM BROCHURE (3/28/2025)

UNITED CAPITAL FINANCIAL ADVISORS ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	41,738
AUM (Assets Under Management)	$ 17,211,052,120

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/01/2024	Cover Page	Report
10/30/2023	Cover Page	Report
01/26/2023	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Herbert C. Rosenthal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SMH CAPITAL INVESTMENTS LLC

MML INVESTORS SERVICES, LLC

SMH CAPITAL INVESTMENTS LLC

WESTPORT RESOURCES MANAGEMENT INC

WS GRIFFITH SECURITIES, INC.

VP DISTRIBUTORS LLC

HOME LIFE INSURANCE COMPANY

METROPOLITAN LIFE INSURANCE COMPANY

Primary Firm SEC Registration

UNITED CAPITAL FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 11/8/1996

SIE

Date: 12/31/2017

Series 1

Date: 4/19/1973

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

UNITED CAPITAL FINANCIAL ADVISORS

TRUST BUT VERIFY

Contact information

Similar Advisors