Best Investors Account Sign in

Michael David Rosenthal

LPl Financial LLC

Denver, CO

Claim This Profile
Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-04-10
CO RA APPROVED 2015-08-28
  • TX RA
    APPROVED_RES
    Since 2019-04-10
  • CO RA
    APPROVED
    Since 2015-08-28

Branch Locations

4100 E Mississippi Ave Ste 800, Denver, CO 80246 • 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
Wells Fargo Advisors, Llc Greenwood Village CO 06/2012 03/2017
Lpl Financial, Llc Denver CO 08/2015 Present
  • 06/2012 → 03/2017
    Wells Fargo Advisors, Llc
    Greenwood Village, CO
  • 08/2015 → Present
    Denver, CO
Previous Registrations
  • 2012-06-25 → 2015-09-01
    Englewood, CO
    Greenwood Village, CO
    Greenwood Village, CO
    Littleton, CO
    Denver, CO
    Littleton, CO
    Greenwood Village, CO
  • 2009-06-19 → 2012-06-25
    Chase Investment Services Corp.
    Aurora, CO
    Aurora, CO
    Aurora, CO
    Aurora, CO
    Aurora, CO
    Aurora, CO
    Lakewood, CO
  • 2008-10-31 → 2009-04-07
    St Louis, MO
Other Businesses

1. 8/28/2015 - DENVER WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Started 08/17/2015 - Time Spent 95%. 2. 1/8/2016 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Owner - Started 01/01/15 - 4 Hours Per Month/0 Hours During Securities Trading. 3. 2/18/2016 - Rosenodsky Financial, LLC - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 02/10/2016 - 0 Hours Per Month. 4. 10/19/2018 - Elevate Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 10/15/2018 - 40 Hours Per Month During Securities Trading. 5. 9/1/2021 - No Business Name - Not Investment Related - 4100 E Mississippi Ave, Suite 800, Denver, CO 80246 - Real Estate Rental - Started 05/01/2020 - 1 Hour Per Month/0 Hours During Securities Trading. 6. 02/14/2022 - No Business Name- Investment Related - Denver, CO 80218- Real Estate Rental - Start Date - 02/15/2022- 1 Hours Per Month/0 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-10-30
  • S66 Uniform Combined State Law Examination
    2008-10-30
Other Names
  • Michael D Rosenthal

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Denver, CO

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor