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Robert Harold Rosenthal

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Naples, FL

Lake Forest, IL

Marco Island, FL

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2020-12-04
TX RA APPROVED_RES 2000-11-03
IL RA APPROVED 1998-04-12
  • FL RA
    APPROVED
    Since 2020-12-04
  • TX RA
    APPROVED_RES
    Since 2000-11-03
  • IL RA
    APPROVED
    Since 1998-04-12

Branch Locations

Naples, FL • United States

780 N Western Ave, Lake Forest, IL 60045 • United States

Marco Island, FL • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Northbrook IL 08/1994 Present
Bank Of America,Na Lake Forest IL 07/2010 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-12-06
S63 Uniform Securities Agent State Law Examination 1994-11-22
  • S65 Uniform Investment Adviser Law Examination
    1994-12-06
  • S63 Uniform Securities Agent State Law Examination
    1994-11-22
Other Names
  • Robert H Rosenthal

View on SEC IAPD

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