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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)13 years in industry

DANIEL ALEXANDER ROSENTHAL

Advisor at WELLS FARGO ADVISORS

HOUSTON, TX | SUGAR LAND, TX

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Search this name across graphsid dfx:ria:5fb8560d-3cd3-0e32-d166-6d8f4723f26f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Nov 19, 2018 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Nov 17, 2018
First registration: Nov 19, 2018
Dual registered: yes, broker-dealer
Other names: Daniel Rosenthal|Daniel Alexander Rosenthal
IAPD individual key: 6821005

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	Dec 7, 2023	n/a	yes	HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX\|SUGAR LAND, TX	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Apr 5, 2023	Nov 21, 2023	no	HOUSTON, TX	Previous registration
MORGAN STANLEY	Wirehouse	Aug 30, 2019	Apr 24, 2023	no	Houston, TX	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Jan 24, 2019	Jun 10, 2019	no	Houston, TX	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Nov 19, 2018	Jan 18, 2019	no	Westlake, TX\|Fort Worth, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
UBS FINANCIAL SERVICES INC.	WELLS FARGO ADVISORS	Nov 21, 2023	Dec 7, 2023	16	Firm change	Wirehouse to wirehouse
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Apr 24, 2023	Apr 5, 2023	-19	Firm change	Wirehouse to wirehouse
J.P. MORGAN SECURITIES LLC	MORGAN STANLEY	Jun 10, 2019	Aug 30, 2019	81	Firm change	Wirehouse to wirehouse
CHARLES SCHWAB & CO., INC.	J.P. MORGAN SECURITIES LLC	Jan 18, 2019	Jan 24, 2019	6	Firm change	Ibd to wirehouse

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
79:149777:TX:2019-06-10	Jun 10, 2019	Aug 30, 2019	HOUSTON, TX	Firm change

Relationships

Registered with (5)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Dec 7, 2023 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Apr 5, 2023 to Nov 21, 2023factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Aug 30, 2019 to Apr 24, 2023factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Jan 24, 2019 to Jun 10, 2019factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Nov 19, 2018 to Jan 18, 2019factForm ADV

Dated events

Occurred
Nov 21, 2023
Advisor changed firm
Daniel Alexander Rosenthal left Ubs Financial Services Inc. for Wells Fargo Advisors (registered 2023-12-07)
Form ADVobserved 6 days ago
Occurred
Apr 24, 2023
Advisor changed firm
Daniel Alexander Rosenthal left Morgan Stanley for Ubs Financial Services Inc. (registered 2023-04-05)
Form ADVobserved 6 days ago