Elizabeth G. 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.
Elizabeth Giles Rosenthal, who also goes by Elizabeth Ann Giles, Elizabeth Giles, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 2007. Elizabeth had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 2018 - November 13, 2020
CASTLE WEALTH MANAGEMENT
September 9, 2016 - May 17, 2017
TRUIST ADVISORY SERVICES, INC.
June 11, 2015 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
June 3, 2014 - May 17, 2017
TRUIST INVESTMENT SERVICES, INC.
May 29, 2007 - September 13, 2012
CITIGROUP GLOBAL MARKETS INC.
March 7, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
Primary Firm SEC Registration
CASTLE WEALTH MANAGEMENT
CRD#: 118364 / SEC#: 801-60871
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
CASTLE WEALTH MANAGEMENT
CRD#: 118364 / SEC#: 801-60871
Contact information
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 812 |
| AUM (Assets Under Management) | $ 371,943,152 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/02/2025 | ||
| 01/18/2024 | ||
| 10/28/2022 |
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.
