David Bunim Rosenthal

Current Employers

Employment History

• 01/2014 → 09/2016
  Deutsche Bank Securities Inc
  Greenwich, CT
• 09/2016 → 07/2020
  Raymond James & Associates, Inc.
  Greenwich, CT
• 07/2020 → 03/2026
  Ubs Financial Services Inc.
  Westport, CT
• 03/2026 → Present
  Lpl Financial Llc
  Westport, CT

Previous Registrations

• 2020-07-31 → 2026-03-17
  Ubs Financial Services Inc.
  Westport, CT
  Stamford, CT
  Westport, CT
• 2016-09-06 → 2020-08-04
  Raymond James & Associates, Inc.
  Greenwich, CT
• 2014-02-28 → 2016-09-06
  Deutsche Bank Securities Inc.
  Greenwich, CT
• 2011-07-25 → 2014-02-20
  Dominari Securities Llc
  Westport, CT
  New York, NY
• 2009-06-01 → 2010-12-16
  Morgan Stanley
  Westport, CT
• 2005-04-04 → 2009-06-01
  Citigroup Global Markets Inc.
  Westport, CT
  Westport, CT

Other Businesses

1. 03/2026 - TRG-The Rose Group - DBA for LPL Business (entity for LPL business) - Investment related - At Reported Business Location(s) - 160 Hrs/Mth - 160 Hrs During Trading - OBA start date: 2/23/2026 2. 03/2026 - Gladstone Wealth Partners - DBA for LPL Business (entity for LPL business) - Investment related - At Reported Business Location(s) - 160 Hrs/Mth - 160 Hrs During Trading - OBA start date: 2/23/2026 3. 03/2026 - Kerri Rosenthal, LLC - Business Owner - Westport CT 06880 - Investment related - 12 Hrs/Mth - 12 Hrs During Trading - OBA start date: 07/12/2016 4. 03/2026 - XOKR, LLC. - Business Owner - Westport CT 06880 - Investment related - 03 Hrs/Mth - 03 Hrs During Trading - OBA start date: 07/12/2016 5. 03/2026 - KR Industries, LLC. - Business Owner - Westport CT 06880 - Investment related - 02 Hrs/Mth - 02 Hrs During Trading - OBA start date: 03/16/2022 6. 03/2026 - Kerri Rosenthal - Business Owner - Westport CT 06880 - Investment related - 03 Hrs/Mth - 00 Hrs During Trading - OBA start date: 09/01/2016

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-03-31
• S63 Uniform Securities Agent State Law Examination
  1996-12-05