John P. 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.
John Paul Rosenthal was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1958. John had worked at 4 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 1991 - March 29, 2004
BURNHAM SECURITIES INC.
February 7, 1972 - March 8, 1991
SILBERBERG, ROSENTHAL & CO.
June 18, 1964 - March 1, 1972
ROSENTHAL & CO
December 1, 1958 - June 1, 1972
LADENBURG THALMANN & CO. INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 7/1/1977
AMEX Put and Call ExamSeries 1
Date: 11/26/1958
Registered Representative ExaminationCurrent Firm
BURNHAM SECURITIES INC.
CRD#: 22549 / SEC#: 801-65646, 8-39788
Contact information
Disclosures
| Regulatory Event | 6 |
Red Flags
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