David Rosenthal is a CFP, ChFC-designated registered investment advisor at UBS Financial Services INC., based in Houston, TX, with 39 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Retirement Planning, and 1 more. Their firm serves 1,134,581 clients with $810B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
UBS Financial Services Inc. offers financial planning services for a fee, with costs ranging from $500 to $50,000, though most clients pay between $1,000 and $10,000. Fees exceeding $50,000 but not more than $100,000 may be permitted for complex situations involving relationships with a net worth of $100 million or more. The fees are negotiable and may vary based on the range of services selected, the scope of the engagement, the complexity of the services, the nature and amount of client assets involved, and the financial advisor's business model.
Location
4400 Post Oak Parkway, Houston, TX, 77027
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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David volunteers for the CFP Board Center for Financial Planning Scholarship Review Panel. He assists in identifying candidates for scholarship awards to promote the financial planning profession.
Employment History
Current Registrations
UBS Financial Services INC.
UBS Financial Services INC.
UBS Financial Services INC.Broker
Previous Registrations
Rosenthal, David A.
Schneider Downs Wealth Management Advisors, LP
Wachovia Securities, LLC
Wachovia Securities, LLCBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Bisys Brokerage Services, INC.Broker
Canada Life of America Financial Services, INC.Broker
Walnut Street Securities, INC.Broker
CUNA Brokerage Services, INC.Broker
Walnut Street Securities, INC.Broker
Sunamerica Securities, INC.Broker
Southmark Financial Services, INC.Broker
Pamco Securities and Insurance ServicesBroker
Manequity, INC.Broker
Connecticut Mutual Financial Services, INC.Broker
State Registrations53 states
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