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RR

Richard A. Rosenthal

SECURITIES MANAGEMENT & RESEARCH
Lansing, MI
Some features on this profile are disabled
CRD#: 5742616
RR

Professional summary

Richard Alan Rosenthal, who also goes by Richard Rosenthal, is a registered financial professional currently at SECURITIES MANAGEMENT & RESEARCH, INC. located in Lansing, Michigan.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2015. Richard has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard Rosenthal

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Alan Rosenthal's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

March 15, 2018 - Present

SECURITIES MANAGEMENT & RESEARCH, INC.

BD
CRD#: 759
Lansing, MI
Past

March 2, 2015 - March 15, 2018

NYLIFE SECURITIES LLC

BD
CRD#: 5167
LANSING, MI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Michigan
(3/15/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 8/17/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/2/2015
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SM
SECURITIES MANAGEMENT & RESEARCH, INC.
SECURITIES MANAGEMENT & RESEARCH, INC. | SOUTH SHORE ADVISORS, INC. | SM&R | SECURITIES MANAGEMENT AND RESEARCH, INC. ("SM&R") | SECURITIES MANAGEMENT AND RESEARCH, INC.

CRD#: 759 / SEC#: 801-8002, 8-12745

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402
Mailing Address
P.o. Box 11606, Cedar Rapids, IA 52410-1606
Phone number
(855) 767-5700
Established
Florida since 12/15/1964
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ADV PART 2 (3/22/2012)

Direct owners and executive officers

NamePositionCRD#
ONE FINANCIAL, INC.PARENT
BERTHEL, THOMAS JOSEPHCHAIRMAN OF BOARD/EXECUTIVE VICE PRESIDENT823289
CHAPMAN, KIMBERLY KAREN EARLYCHIEF COMPLIANCE OFFICER2527036
CHRISTOFFERSON, ANDREW JAMESCHIEF EXECUTIVE OFFICER/PRESIDENT3248381
DAVENPORT, SHELLEY RAEVICE PRESIDENT LEGAL & REGULATORY MATTERS2131376
HOHN, JAMES RALPHVICE PRESIDENT/TECHNOLOGY5413776
MEEHAN, DANIEL GERARDVICE PRESIDENT RECRUITING2264556
MURPHY, RICHARD MAURICEEXECUTIVE VICE PRESIDENT4893748
NOETHEN, BRITTANY MICHELLECHIEF TECHNOLOGY OFFICER2610543
RUPP, BRIAN MICHAELCHIEF FINANCIAL OFFICER/TREASURER6721718
SCHAUL, JOANNA MARIECHIEF ADMINISTRATIVE OFFICER/SECRETARY4947759
WILCOX, RANDY AUSTINVICE PRESIDENT COMPLIANCE/OSJ MANAGER4346998

Disclosures

Regulatory Event4
Arbitration1

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.

Company Information

SECURITIES MANAGEMENT & RESEARCH, INC.

CRD#: 759Lansing, MI

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