Morris D. 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.
Morris D Rosenthal, who also goes by Morris David Rosenthal, Norris D Rosenthal, was a registered financial professional .
Morris is a previously registered financial professional and started their career in finance in 2010. Morris had worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2012 - December 5, 2012
T/R FINANCIAL MANAGEMENT GROUP, LLC
August 16, 2011 - October 27, 2011
ACCELERATED CAPITAL GROUP
January 18, 2011 - June 8, 2011
ACCELERATED CAPITAL GROUP
July 12, 2010 - August 13, 2010
SIGNATOR INVESTORS, INC.
March 22, 2010 - March 29, 2010
EDWARD JONES
January 26, 2010 - March 29, 2010
EDWARD JONES
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
T/R FINANCIAL MANAGEMENT GROUP, LLC
CRD#: 117102 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 145 |
| AUM (Assets Under Management) | $ 23,650,896 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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