Richard Rosenthal Email & Phone Number | PROFILE • Extensive legal, management and regulatory financial reporting experience, managing groups ranging from small teams of 3-5 to organizations of 50 • Series 27 CFO / FINOP for multiple broker/dealer entities • Implementing process improvements ranging from complete system installations to spreadsheet workflow enhancements • Experience implementing policies and procedures for wide variety of regulatory requirements (Basel/Volcker/SOX) and financial control processes • Full understanding of business flows and impacts on other groups, both internal and external, including regulators, auditors, operations, tax and other support organizations

Richard Rosenthal

PROFILE • Extensive legal, management and regulatory financial reporting experience, managing group...
Rockville Centre, New York, United States

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Richard Rosenthal’s Email kenneth.rosenthal@att.net

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Richard Rosenthal’s Location Rockville Centre, New York, United States

Richard Rosenthal’s Current Industry Td Securities

Richard Rosenthal’s Prior Industry Bank Of America Merrill Lynch | Fortis Securities | Merrill Lynch | Deloitte Haskins And Sells

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Director - Financial & Regulatory Reporting

2014-08-01 00:00:00 - Present

Director - Global Equity Financing

2010-04-01 00:00:00 - 2014-08-01 00:00:00

CFO - Series 27 Finance/Operations Principal

2006-10-01 00:00:00 - 2010-04-01 00:00:00

Senior Finance Officer

1986-04-01 00:00:00 - 2006-10-01 00:00:00

Senior Accountant

1981-09-01 00:00:00 - 1986-04-01 00:00:00

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Richard Rosenthal is a PROFILE • Extensive legal, management and regulatory financial reporting experience, managing groups ranging from small teams of 3-5 to organizations of 50 • Series 27 CFO / FINOP for multiple broker/dealer entities • Implementing process improvements ranging from complete system installations to spreadsheet workflow enhancements • Experience implementing policies and procedures for wide variety of regulatory requirements (Basel/Volcker/SOX) and financial control processes • Full understanding of business flows and impacts on other groups, both internal and external, including regulators, auditors, operations, tax and other support organizations

Richard Rosenthal has prior
experience in the following industries:
Bank Of America Merrill Lynch | Fortis Securities | Merrill Lynch | Deloitte Haskins And Sells

Richard Rosenthal has the following professional experience:
Td Securities | Bank Of America Merrill Lynch | Fortis Securities | Merrill Lynch | Deloitte Haskins And Sells