Daniel E. Rosenthall
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.
Daniel Elliot Rosenthall was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2003. Daniel had worked at 5 firms and has passed the Series 65, Series 63, Series 66, 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
August 11, 2011 - December 20, 2013
JANICZEK WEALTH MANAGEMENT
March 5, 2008 - September 7, 2010
LPL FINANCIAL LLC
March 5, 2008 - September 7, 2010
LPL FINANCIAL LLC
January 1, 2008 - January 4, 2008
KESTRA INVESTMENT SERVICES, LLC
October 2, 2007 - January 4, 2008
KESTRA INVESTMENT SERVICES, LLC
May 1, 2006 - September 12, 2007
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
July 31, 2003 - August 26, 2003
WADDELL & REED
July 14, 2003 - August 26, 2003
WADDELL & REED
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
JANICZEK WEALTH MANAGEMENT
CRD#: 107156 / SEC#: 801-37889
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,397 |
| AUM (Assets Under Management) | $ 1,122,588,671 |
Red Flags
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