David Allan Rosenthal

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2014 → 11/2016
  Ubs Financial Services Inc.
  Houston, TX
• 12/2016 → Present
  Ubs Financial Services Inc.
  Houston, TX

Previous Registrations

• 2005-08-30 → 2006-05-17
  Rosenthal, David A.
  Pittsburgh, PA
• 2005-04-13 → 2005-06-08
  Schneider Downs Wealth Management Advisors, Lp
  Pittsburgh, PA
• 2002-09-20 → 2005-03-24
  Wells Fargo Clearing Services, Llc
  Pittsburgh, PA

Other Businesses

Certified Financial Planner Board of Standards / 1425 K Street NW #800WashingtonDCUnited States20005 / Certified Financial Planner Board of Standards, Inc. is an American 501 certifying and standards-setting organization that administers the Certified Financial Planner certification program and oversees more than 89,000 professionals using the CFP® certification in the United States / Foundation / Be a part of the process to assist in identifying the most deserving candidates for scholarship award and continue to promote the growth of the financial planning profession. / Volunteer for the CFP Board Center for Financial Planning Scholarship Review Panel. / 4/18/2022

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-11-09
• S63 Uniform Securities Agent State Law Examination
  1998-07-07

Designations

• Certified Financial Planner
• Chartered Financial Consultant