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Darrell Rosenthal

36 Years of Experience
Houston, TX
2 DisclosuresBroker

Darrell Rosenthal is a registered investment advisor at UBS Financial Services INC., based in Houston, TX, with 36 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
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9502 advisors
IM Fee
Planning only
Assets Under Management
$808.8B

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.

One-Time Plan:$500 - $50,000
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Location

4400 Post Oak Parkway, 17th Floor, Houston, TX, 77027

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History

Regulatory History (2)
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Regulatory
August 1999
Final
Employment Separation After Allegations
September 1994
Other Business Activities

Darrell is a registered agent for LJF Holdings LLC, a non-operating personal LLC, since 2012. He was also a board member for Cherish Our Children International, a children's charity, from 2017 to 2019.

Employment History
Current Registrations
UBS Financial Services INC.
February 2009 - Present · 17 yrs 5 mos
UBS Financial Services INC.Broker
January 2009 - Present · 17 yrs 6 mos
Previous Registrations
Oppenheimer & CO. INC.
January 2006 - February 2009 · 3 yrs 1 mo
Oppenheimer & CO. INC.Broker
January 2003 - February 2009 · 6 yrs 1 mo
Cibc World Markets CORP.Broker
October 1994 - January 2003 · 8 yrs 3 mos
Smith Barney INC.Broker
October 1993 - October 1994 · 1 yr
Painewebber IncorporatedBroker
September 1990 - October 1993 · 3 yrs 1 mo
Lehman Brothers INC.Broker
September 1989 - October 1990 · 1 yr 1 mo
State Registrations25 states
AZCACODEFLGAILINKSLAMIMTNJNMNYOHORPAPRTNTXUTVAWAWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
Darrell Rosenthal - Financial Advisor | TrueAdvisor