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Detailed Report
PETER W. ROSENTHAL
PETER WARREN ROSENTHAL
CRD#: 1030588
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 ONE JERICHO PLAZA
SUIT 205
JERICHO, NY 11753
Registration History
198519901995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2012 - Present (13 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2011 - Present (13 years)BMORGAN STANLEY SMITH BARNEY (CRD# 149777)2009 - 2011 (2 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2009 (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1993 (5 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1987 - 1988 (<1 year)BPAINEWEBBER INCORPORATED (CRD# 8174)1982 - 1987 (5 years)
Disclosure(s)
View By:
5/28/2002
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 7/10/2013
B
North Carolina 8/30/2011
B
California 7/11/2011
B
Ohio 11/10/2021
B
Connecticut 7/11/2011
B
Oregon 3/11/2025
B
Delaware 1/27/2025
B
Pennsylvania 7/11/2011
B
Florida 7/11/2011
B
Puerto Rico 3/11/2025
B
Georgia 8/25/2017
B
Rhode Island 6/14/2018
B
Kentucky 3/11/2025
B
South Carolina 2/28/2017
B
Maine 7/11/2011
B
Tennessee 7/18/2024
B
Maryland 7/11/2011
B
Texas 7/11/2011
B
Massachusetts 7/11/2011
IA
Texas 3/27/2012
B
Michigan 3/11/2021
B
Utah 1/6/2015
B
Nevada 7/11/2011
B
Vermont 7/11/2011
B
New Hampshire 10/17/2022
B
Virginia 1/23/2012
B
New Jersey 7/11/2011
B
Washington 8/2/2023
B
New Mexico 1/27/2025
B
West Virginia 1/27/2025
B
New York 7/11/2011
B
Wyoming 1/6/2015
IA
New York 10/26/2021

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
ONE JERICHO PLAZA SUIT 205, JERICHO, NY 11753
Registered with this firm since 3/27/2012
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
ONE JERICHO PLAZA SUIT 205, JERICHO, NY 11753
Registered with this firm since 7/11/2011
Previous Registration(s)
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B
 06/01/2009 - 07/25/2011 MORGAN STANLEY SMITH BARNEY (CRD#:149777) JERICHO, NY
B
 07/31/1993 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) JERICHO, NY
B
 04/11/1988 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 09/14/1987 - 04/11/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
B
 02/25/1982 - 09/23/1987 PAINEWEBBER INCORPORATED (CRD#:8174)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.