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David Rosenthal

Managing Director–Wealth Management

Financial Advisor

David Rosenthal, CIMA®, AIF® joins UBS as a Managing Director – Wealth Management, Senior Institutional Consultant, and Senior Retirement Plan Consultant.  David has deep expertise on portfolio construction and analyzing a wide array of investments ranging from the straightforward to the deeply complex.  David began his career as a corporate real estate attorney in Manhattan. He made the move to the investment world and met Steve Collins at Smith Barney in 1997. He joined Deutsche Bank Securities in 2014 which was acquired by Raymond James and became Alex Brown.

In his spare time, David is an avid tennis player (not to be confused with being a good tennis player). He also plays the electric Blues guitar and sometimes plays with his band in local Connecticut venues. David is originally from Croton-on-Hudson, New York and now lives in Westport, Connecticut with his three children, Ali, Will and Emma and his wife Kerri, who is a prominent artist who also runs an interior design firm as well as a retail and wholesale company for her art-based creations.

Registered States:
  • AK
  • AL
  • AR
  • AZ
  • CA
  • CO
  • CT
  • DC
  • DE
  • FL
  • GA
  • HI
  • IA
  • ID
  • IL
  • IN
  • KS
  • KY
  • LA
  • MA
  • MD
  • ME
  • MI
  • MN
  • MO
  • MT
  • NC
  • NE
  • NH
  • NJ
  • NM
  • NV
  • NY
  • OH
  • OK
  • OR
  • PA
  • PR
  • RI
  • SC
  • SD
  • TN
  • TX
  • UT
  • VA
  • VT
  • WA
  • WI

Recognized as an industry leader:

  • NAPA Top DC Advisor Teams, 2021The NAPA rating is awarded annually in March based on information from December of the prior year.

Eligibility is based on quantitative factors and is not necessarily related to the quality of the investment advice. For more information on third party rating methodologies, please visit ubs.com/us/en/designation-disclosures

Credentials

  • Certified Investment Management Analyst®
  • Senior Institutional Consultant, UBS Institutional Consulting Program
  • Senior Retirement Plan Consultant
8 Wright Street
3rd Floor
Westport, CT 06880

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Stephen Collins, AIF

Vice President–Wealth Management

Financial Advisor

Stephen Collins,  AIF® joins UBS as a Vice President – Wealth Management and Institutional Consultant.  David focuses on minimizing volatility for his clients while helping them pursue their personal and financial goals. He has expertise in comprehensive financial solutions including capital markets and portfolio management.  Steve has over 20 years of wealth management experience and began his career with Smith Barney where he first met David Rosenthal. In 2007, he joined Bank of America Merrill Lynch until 2012, when he was brought on at Citigroup as a director in the private client group. In October 2016, Steve joined David at Alex Brown.

Steve holds a bachelor’s in economics from Kenyon College and in his spare time enjoys staying active playing ice hockey, cycling and skiing. Originally from New York City, he lives in Briarcliff Manor, New York, with his wife, Fiona, their two children, T.J. and Caroline, and their three large dogs.

Registered States:
  • AK
  • AL
  • AR
  • AZ
  • CA
  • CO
  • CT
  • DC
  • DE
  • FL
  • GA
  • HI
  • IA
  • ID
  • IL
  • IN
  • KS
  • KY
  • LA
  • MA
  • MD
  • ME
  • MI
  • MN
  • MO
  • MT
  • NC
  • NE
  • NH
  • NJ
  • NM
  • NV
  • NY
  • OH
  • OK
  • OR
  • PA
  • PR
  • RI
  • SC
  • SD
  • TN
  • TX
  • UT
  • VA
  • VT
  • WA
  • WI

Education

  • Kenyon College, Economics

Credentials

  • Retirement Plan Consultant
8 Wright Street
3rd Floor
Westport, CT 06880

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Daniel Rupp, AAMS

Senior Wealth Strategy Associate

Daniel Rupp, AAMS® joins UBS as a Senior Wealth Strategy Consultant and has been working in the financial services industry for over half a decade with experience at Wells Fargo and Alex Brown. His duties include day to day operations, managing all service aspects of clients’ financial plans, and assisting with the analysis and research of clients’ investment vehicles and strategies.

In his free time, Daniel enjoys vacationing, a passion for cars and, most importantly, giving back to his community through volunteer work. Daniel sat as the administrative chair for Latin Connections, a nationwide group that brings financial awareness to Hispanic communities and families. He has also run financial workshops in Stamford, Connecticut, for Inspirica and provided financial education to low income families.  Daniel currently volunteers with Kids in Crisis of Greenwich, Connecticut, which assists children in domestically violent and challenging situations.

Registered States:
  • AL
  • CA
  • CO
  • CT
  • FL
  • GA
  • MA
  • MD
  • ME
  • NC
  • NJ
  • NY
  • OH
  • OR
  • PA
  • PR
  • TX
  • VT
8 Wright Street
3rd Floor
Westport, CT 06880

Email Me