Michael Neal Rosenthal

Stifel, Nicolaus & Company, Incorporated

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Current Employers

Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2023-04-06
NJ	RA	APPROVED	2023-04-05

TX RA
APPROVED_RES

Since 2023-04-06
NJ RA
APPROVED

Since 2023-04-05

Branch Locations

1040 Broad Street Suite 301, Shrewsbury, NJ 07702 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Raymond James & Associates, Inc.	Red Bank	NJ	05/2006	04/2023
Overtime Angels, Inc.	Marlboro	NJ	04/2014	04/2023
Stifel, Nicolaus & Company, Incorporated	Shrewsbury	NJ	04/2023	Present

05/2006 → 04/2023

Raymond James & Associates, Inc.

Red Bank, NJ
04/2014 → 04/2023

Overtime Angels, Inc.

Marlboro, NJ
04/2023 → Present

Stifel, Nicolaus & Company, Incorporated

Shrewsbury, NJ

Previous Registrations

2006-07-18 → 2023-04-17

Raymond James & Associates, Inc.

Red Bank, NJ

West Conshohocken, PA

Tinton Falls, NJ
2006-02-21 → 2006-05-22

Citigroup Global Markets Inc.

New York, NY

Shrewsbury, NJ
2003-11-21 → 2006-02-21

Legg Mason Wood Walker, Incorporated

Shrewsbury, NJ
2001-01-03 → 2003-11-03

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Freehold, NJ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-04-05
S63	Uniform Securities Agent State Law Examination	1993-12-27

S65 Uniform Investment Adviser Law Examination

1994-04-05
S63 Uniform Securities Agent State Law Examination

1993-12-27

Other Names

Michael N Rosenthal

View on SEC IAPD

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