David Rosenthal is a registered investment advisor at LPL Financial LLC, based in Westport, CT, with 28 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
1221 Post Road East, Suite 304, Westport, CT, 06880
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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David is a director at Kerri Rosenthal (unpaid), and a partner in Kerri Rosenthal, LLC, XOKR, LLC, KR Industries, LLC, and WEACO, LLC, all formerly used to lease retail space. He also writes a book about foundations, endowments, and associations.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
UBS Financial Services INC.
UBS Financial Services INC.
UBS Financial Services INC.Broker
Previous Registrations
Raymond James & Associates, INC.Broker
Raymond James & Associates, INC.
Deutsche Bank Securities INC.
Deutsche Bank Securities INC.Broker
Fieldpoint Private Securities, LLCBroker
Fieldpoint Private Securities LLC
Morgan Stanley Smith Barney LLC
Morgan Stanley Smith BarneyBroker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
State Registrations49 states
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.