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Detailed Report
ADAM STUART ROSENTHAL
ADAM ROSENTHAL
CRD#: 2277291
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 ONE JERICHO PLAZA
SUIT 205
JERICHO, NY 11753
Registration History
19952000200520102015202020252 FIRMS2008 - Present (16 years)BLEHMAN BROTHERS INC. (CRD# 7506)1996 - 2008 (12 years)BCITICORP SECURITIES, INC. (CRD# 7474)1995 - 1996 (1 year)BM.G.S.I. SECURITIES, INC. (CRD# 16723)1992 - 1994 (2 years)IALEHMAN BROTHERS INC. (CRD# 7506)2005 - 2008 (3 years)
License(s)

State Registrations

B
Arizona 9/19/2008
B
New Mexico 9/19/2008
B
Arkansas 11/19/2021
B
New York 9/19/2008
B
California 9/19/2008
IA
New York 10/26/2021
B
Colorado 9/19/2008
B
North Carolina 2/5/2020
B
Connecticut 9/19/2008
B
Ohio 9/19/2008
B
Delaware 10/6/2011
B
Pennsylvania 9/19/2008
B
District of Columbia 9/19/2008
B
South Carolina 11/19/2021
B
Florida 9/19/2008
B
Texas 9/19/2008
B
Georgia 9/19/2008
IA
Texas 9/19/2008
B
Illinois 9/19/2008
B
Vermont 9/19/2008
B
Maryland 9/19/2008
B
Virginia 9/19/2008
B
Massachusetts 9/19/2008
IA
Virginia 6/1/2023
B
Michigan 9/19/2008
B
Washington 4/15/2015
B
New Hampshire 2/5/2020
B
Wisconsin 11/19/2021
B
New Jersey 9/19/2008

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
1285 Avenue of the Americas 38th Floor, New York, NY 10019
Registered with this firm since 9/19/2008
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
ONE JERICHO PLAZA SUIT 205, JERICHO, NY 11753
1285 Avenue of the Americas 38th Floor, New York, NY 10019
Registered with this firm since 9/19/2008
Previous Registration(s)
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IA
 05/02/2005 - 10/02/2008 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 09/09/1996 - 10/02/2008 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 07/07/1995 - 07/10/1996 CITICORP SECURITIES, INC. (CRD#:7474) NEW YORK, NY
B
 09/01/1992 - 12/31/1994 M.G.S.I. SECURITIES, INC. (CRD#:16723) HOUSTON, TX
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.