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Inactive

Richard Alan Rosenthal

Lido

Chicago, IL

Los Angeles, CA

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Current Employers
Lido

1875 Century Park East Suite 950, Los Angeles, CA 90067 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-05-01
TX RA APPROVED 2025-04-09
CA RA APPROVED 2024-08-16
IL RA APPROVED 2024-08-16
  • FL RA
    APPROVED
    Since 2025-05-01
  • TX RA
    APPROVED
    Since 2025-04-09
  • CA RA
    APPROVED
    Since 2024-08-16
  • IL RA
    APPROVED
    Since 2024-08-16

Branch Locations

732 W Randolph Street 6Th Floor, Chicago, IL 60661 • United States

1875 Century Park East Suite 950, Los Angeles, CA 90067 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lido Advisors, Llc Chicago IL 05/2024 Present
Us Bank Los Angeles CA 01/2012 08/2022
Pfm Asset Managment, Llc Chicago IL 07/2023 05/2024
Us Bank Chicago IL 08/2022 06/2023
  • 05/2024 → Present
    Lido Advisors, Llc
    Chicago, IL
  • 01/2012 → 08/2022
    Us Bank
    Los Angeles, CA
  • 07/2023 → 05/2024
    Pfm Asset Managment, Llc
    Chicago, IL
  • 08/2022 → 06/2023
    Us Bank
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-08-16
S63 Uniform Securities Agent State Law Examination 1997-03-07
  • S65 Uniform Investment Adviser Law Examination
    2024-08-16
  • S63 Uniform Securities Agent State Law Examination
    1997-03-07
Other Names
  • Rick Rosenthal

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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