Individual Firm
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PETER W. ROSENTHAL
PETER WARREN ROSENTHAL
CRD#: 1030588
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UBS FINANCIAL SERVICES INC.CRD#: 8174 ONE JERICHO PLAZA
SUIT 205
JERICHO, NY 11753
SUIT 205
JERICHO, NY 11753
View By:
5/28/2002
Customer Dispute
Denied
State Registrations
B
Arizona 7/10/2013
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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
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Texas 3/27/2012
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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
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New York 10/26/2021
SRO Registrations
B
B
B
B
B
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View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
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Registered with this firm since 3/27/2012
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Registered with this firm since 7/11/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/01/2009 - 07/25/2011 | JERICHO, NY | |
B | 07/31/1993 - 06/01/2009 | JERICHO, NY | |
B | 04/11/1988 - 07/31/1993 | NEW YORK, NY | |
B | 09/14/1987 - 04/11/1988 | ||
B | 02/25/1982 - 09/23/1987 |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.