Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
ADAM STUART ROSENTHAL
ADAM ROSENTHAL
CRD#: 2277291
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 ONE JERICHO PLAZA
SUIT 205
JERICHO, NY 11753
SUIT 205
JERICHO, NY 11753
0
Disclosures
31
Years of Experience
View By:
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
B
B
B
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 9/19/2008
B
Registered with this firm since 9/19/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/02/2005 - 10/02/2008 | NEW YORK, NY | |
B | 09/09/1996 - 10/02/2008 | NEW YORK, NY | |
B | 07/07/1995 - 07/10/1996 | NEW YORK, NY | |
B | 09/01/1992 - 12/31/1994 | HOUSTON, TX |
For additional information about investment advisers or broker-dealers, please visit
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.