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TR

Tyler S. Rosenthal

FRED ALGER & COMPANY
NEW YORK, NY 10004
Some features on this profile are disabled
CRD#: 6633529
TR

Professional summary

Tyler Samuel Rosenthal is a registered financial professional currently at FRED ALGER & COMPANY, LLC located in New York, New York.

Tyler is registered as a RR (Registered Representative) and started their career in finance in 2017. Tyler has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Tyler Samuel 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

January 17, 2020 - Present

FRED ALGER & COMPANY, LLC

Office #1: 100 Pearl Street 27th Floor, New York, NY, 10004
BD
CRD#: 5300
NEW YORK, NY
Past

September 10, 2018 - January 15, 2020

B. RILEY WEALTH ADVISORS, INC.

RIA
CRD#: 115927
NEW YORK, NY
Past

July 21, 2017 - January 15, 2020

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY

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
Florida
(1/17/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/21/2017
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/21/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

FA
FRED ALGER & COMPANY, LLC
FRED ALGER & COMPANY, INCORPORATED | FRED ALGER & COMPANY, LLC

CRD#: 5300 / SEC#: , 8-15900

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
100 Pearl Street 27th Floor, New York, NY, 10004
Mailing Address
100 Pearl Street 27th Floor, New York, NY, 10004
Phone number
(212) 806-8800
Established
Delaware since 10/01/2019
Firm type
Limited Liability Company
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)

Direct owners and executive officers

NamePositionCRD#
ALGER GROUP HOLDINGS, LLCPARENT
HOFMANN, CHRISTOPHPRESIDENT4748990
KINCEL, ROBERT LOUISCHIEF FINANCIAL OFFICER, PFO, POO2747237
LEE, AARON SANGCHIEF COMPLIANCE OFFICER5240841
PAYNE, TINAGENERAL COUNSEL5391957

Disclosures

Regulatory Event6
Civil Event1

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

FRED ALGER & COMPANY, LLC

CRD#: 5300New York, NY 10004

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