Daniel Henry Rothenberg

Current Employers

Employment History

• 11/2010 → 12/2019
  Ubs Financial Services Inc
  Los Angeles, CA
• 12/2019 → 02/2020
  Rbc Capital Markets, Llc.
  Pasadena, CA
• 12/2019 → Present
  City National Bank
  Pasadena, CA
• 02/2020 → Present
  Rbc Capital Markets, Llc
  Los Angeles, CA

Previous Registrations

• 2010-11-01 → 2019-12-26
  Ubs Financial Services Inc.
  Los Angeles, CA
• 2009-06-01 → 2010-11-12
  Morgan Stanley
  Los Angeles, CA
  Los Angeles, CA
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  Los Angeles, CA
• 2006-06-27 → 2007-04-02
  Morgan Stanley Dw Inc.
  Los Angeles, CA

Other Businesses

(1) NAME OF ENTITY: HUNTINGTON LIBRARY, ART MUSEUM AND BOTANICAL GARDENS; ADDRESS: 1151 OXFORD RD SAN MARINO, CA 91108; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: COLLECTIONS-BASED EDUCATIONAL AND RESEARCH INSTITUTION; CAPACITY: BOARD OF DIRECTORS; START DATE: 05/2019; DUTIES: SERVE ON A BOARD OF OVERSEERS AND ASSIST WITH FUTURE PLANS FOR THE ORGANIZATION; HOURS DEVOTED PER MONTH: 2; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0; (2) NAME OF ENTITY: One Arroyo Foundation; ADDRESS: N/A; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: To preserve and protect the Arroyo Seco; CAPACITY: Board of Directors; START DATE: 01/2019; DUTIES: President of Board; HOURS DEVOTED PER MONTH: 2; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0; (3) NAME OF ENTITY: Rose Bowl Legacy Foundation; ADDRESS: 1001 Rose Bowl Dr. Pasadena, CA 91103; INVESTMENT/NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Foundation of Rose Bowl Stadium; CAPACITY: Board of Directors; START DATE: 12/2017; DUTIES: Board Member and Fundraising; HOURS DEVOTED PER MONTH: 2; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0; (4) Name: Fitzberg Foundation Address: 251 S. Lake Avenue, Suite 730 Pasadena, CA 91101 Business Description: Private Family Foundation Business is not investment related Projected Start Date: 09/28/20 Capacity: Board of Directors * Duties Performed: Function as financial advisor in regard to investment of foundation assets, operate as Vice President of the Foundation which entails leading board meetings, make recommendations for disbursements of grants and help facilitate grant disbursements made by all board members. Devoted to this OBA per Month: 1 Hours Devoted to this OBA during business hours: 0 (5) NAME OF ENTITY: WHH Foundation ADDRESS: 1060 Avondale Rd. San Marino, CA 91108 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Family Foundation CAPACITY: Other - Member of the Investment Committee of the Family Foundation START DATE: 04/18/22 DUTIES: Work with the investment committee to oversee the investment assets of the Foundation. The committee meets quarterly to review the investments and make recommendations. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams

• S66 Uniform Combined State Law Examination
  2006-06-26

Other Names

• Daniel Rothenberg