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James Arthur Rosenthal

MORGAN STANLEY SMITH BARNEY LLC·PURCHASE, New York
Unclaimed Profile
2000 WESTCHESTER AVENUE, PURCHASE, NY 10577-2530CRD# 4490808Firm CRD# 149777
01

About

James Arthur Rosenthal is a registered financial advisor based in PURCHASE, New York, affiliated with MORGAN STANLEY SMITH BARNEY LLC. This profile is generated from public SEC and FINRA registration data.

02

Focus Areas

Specialties
Financial Planning
Investment Management
Wealth Management
Client Types
Individuals
Institutional Investors
High Net Worth Individuals
Nonprofits & Foundations
03

Firm Overview

Firm
MORGAN STANLEY SMITH BARNEY LLC
MORGAN STANLEY
AUM
$1402.4B
Regulatory assets under management
Employees
29300
Total firm employees
View all advisors at MORGAN STANLEY SMITH BARNEY LLC →
Services
Financial planning
Portfolio management (individuals)
Portfolio management (pooled investments)
Selection of other advisers
Publication of periodicals/newsletters
Security ratings or pricing services
Charitable organization or education services
Other
04

Background

Compensation
Percentage of AUM
Subscription fees
Commissions
Performance-based fees
Other: SEE SCHEDULE D MISCELLANEOUS
Regulatory
SEC/IARD CRD# 4490808
Firm CRD# 149777
18 disclosures on file
View on FINRA BrokerCheck →

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Frequently Asked Questions

What services does James Arthur Rosenthal offer?
James Arthur Rosenthal specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in PURCHASE, New York for a consultation.
What are James Arthur Rosenthal's credentials?
James Arthur Rosenthal is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is James Arthur Rosenthal located?
James Arthur Rosenthal is based in PURCHASE, New York, working with MORGAN STANLEY SMITH BARNEY LLC. Their office serves clients in the PURCHASE metropolitan area and surrounding communities.
How does James Arthur Rosenthal charge for services?
James Arthur Rosenthal's firm is compensated through percentage of aum, subscription fees, commissions, performance-based fees, other: see schedule d miscellaneous. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is MORGAN STANLEY SMITH BARNEY LLC?
MORGAN STANLEY SMITH BARNEY LLC has approximately 29300 employees and manages $1402.4B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Nearby cities in New York
NEW YORK (19803)ROCHESTER (219)WHITE PLAINS (203)SYRACUSE (160)BUFFALO (132)
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Research
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