Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
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.
< Back to Results
Detailed Report
DANIEL ALEXANDER ROSENTHAL
Daniel Alexander Rosenthal, Daniel Rosenthal
CRD#: 6821005
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 17044 LEXINGTON BLVD
SUGAR LAND, TX 77479
Registration History
2018201920202021202220232024202520262 FIRMS2018 - 2019 (<1 year)2 FIRMS2019 - 2019 (<1 year)2 FIRMS2019 - 2023 (3 years)2 FIRMS2023 - 2023 (<1 year)2 FIRMS2023 - Present (1 year)
License(s)

State Registrations

B
Texas 12/7/2023
IA
Texas 12/7/2023

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
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
WELLS FARGO ADVISORS (CRD#:19616)
17044 LEXINGTON BLVD, SUGAR LAND, TX 77479
Registered with this firm since 12/7/2023
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
17044 LEXINGTON BLVD, SUGAR LAND, TX 77479
Registered with this firm since 12/7/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/05/2023 - 11/21/2023 UBS FINANCIAL SERVICES INC. (CRD#:8174) HOUSTON, TX
B
 04/05/2023 - 11/21/2023 UBS FINANCIAL SERVICES INC. (CRD#:8174) HOUSTON, TX
IA
 08/30/2019 - 04/24/2023 MORGAN STANLEY (CRD#:149777) Houston, TX
B
 08/30/2019 - 04/24/2023 MORGAN STANLEY (CRD#:149777) Houston, TX
IA
 01/24/2019 - 06/10/2019 J.P. MORGAN SECURITIES LLC (CRD#:79) Houston, TX
B
 01/24/2019 - 06/10/2019 J.P. MORGAN SECURITIES LLC (CRD#:79) Houston, TX
IA
 11/19/2018 - 01/18/2019 CHARLES SCHWAB & CO., INC. (CRD#:5393) Fort Worth, TX
B
 09/14/2018 - 01/18/2019 CHARLES SCHWAB & CO., INC. (CRD#:5393) Fort Worth, 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.