Stuart Rosenthal

Stuart Rosenthal, Managing Director of Rosenthal Recruiting, has a financial services career that spans more than two decades. As a regulator, he served as a Compliance Examiner with the National Association of Securities Dealers (NASD), now FINRA (Financial Industry Regulatory Authority). Rosenthal’s industry employment has included Merrill Lynch and Smith Barney. At Jefferies & Company, Inc., Rosenthal worked in the Compliance and Risk Management Department for 10 years, where he helped to implement and later monitor the Global Analyst Research Settlement. Subsequently, Rosenthal became a Compliance Officer for Soleil Securities Corporation, where he supervised broker-dealer research, sales and trading services offered to Institutional Investors such as hedge funds and mutual funds.