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LESLIE ROSENTHAL NFA ID: 0048894 Current Status • FLOOR BROKER REGISTERED  ROSENTHAL COLLINS GROUP LLC  • PRINCIPAL APPROVED  Trading Privileges • GRANTED AT CHICAGO BOARD OF TRADE Regulatory Actions  Agency Number NFA 0 CFTC 1 Exchanges 0 details...   NFA Arbitration Decisions  Role Number Claimant 0 Respondent 1 details...   CFTC Reparations Cases Total 3 details... Formerly Known As No other names   Security Futures Proficiency Training No proficiency information available Doing Business As No other names History  Status Effective Date • FLOOR BROKER REGISTERED 01/01/1982  FIRST AMERICAN DISCOUNT CORPORATION  • PRINCIPAL WITHDRAWN 03/31/1989  • PRINCIPAL APPROVED 05/24/1984  FIRST UNITED NATIONWIDE LLC  • PRINCIPAL WITHDRAWN 02/01/2000  • PRINCIPAL APPROVED 01/16/1996  • PRINCIPAL PENDING 12/12/1995  GANN W D FINANCIAL SERVICES INC  • PRINCIPAL WITHDRAWN 06/05/1989  • PRINCIPAL APPROVED 10/27/1988  • PRINCIPAL PENDING 10/17/1988  ING US SEC FUTURES & OPTIONS INC  • PRINCIPAL WITHDRAWN 05/02/1994  • PRINCIPAL APPROVED 10/23/1990  INTL NEDERLANDEN US SEC DERIV CLRNG INC  • PRINCIPAL ENDED WITH INTL NEDERLANDEN US DERIVATIVES CLRNG IN 02/11/1994  • PRINCIPAL WITHDRAWN 01/14/1994  • PRINCIPAL COMPLETE WITH INTL NEDERLANDEN US DERIVATIVES CLRNG IN 01/04/1993  • PRINCIPAL APPROVED 01/04/1993  • PRINCIPAL ADDED WITH INTL NEDERLANDEN US DERIVATIVES CLRNG IN 11/24/1992  • PRINCIPAL PENDING 11/05/1992  QUINCY FUTURES MANAGEMENT INC  • PRINCIPAL WITHDRAWN 01/23/1995  • PRINCIPAL APPROVED 08/10/1990  • PRINCIPAL PENDING 07/16/1990  QUINCY OPTIONS MANAGEMENT INC  • PRINCIPAL WITHDRAWN 04/01/1991  • PRINCIPAL APPROVED 08/10/1990  • PRINCIPAL PENDING 06/19/1990  RCI ADVISORY SERVICES LLC  • PRINCIPAL WITHDRAWN 07/04/2010  • PRINCIPAL APPROVED 03/03/2008  • PRINCIPAL PENDING 12/04/2007  ROSENTHAL CAPITAL LTD  • PRINCIPAL WITHDRAWN 12/31/1993  • PRINCIPAL APPROVED 10/30/1989  • PRINCIPAL PENDING 10/20/1989  ROSENTHAL COLLINS GROUP LLC  • PRINCIPAL APPROVED 01/30/1980  ROSENTHAL COLLINS SECURITIES LLC  • PRINCIPAL ENDED WITH ROSENTHAL COLLINS HOLDINGS LLC 11/29/2001  • PRINCIPAL COMPLETE WITH ROSENTHAL COLLINS HOLDINGS LLC 10/21/1996  • PRINCIPAL ADDED WITH ROSENTHAL COLLINS HOLDINGS LLC 10/09/1996  ROSENTHAL GLOBAL SECURITIES LLC  • PRINCIPAL WITHDRAWN 04/08/2012  • PRINCIPAL APPROVED 11/23/1988  • PRINCIPAL PENDING 09/26/1988  UNITED FINANCIAL SERVICES INC  • PRINCIPAL WITHDRAWN 11/29/1988  • PRINCIPAL APPROVED 10/17/1985  VIRGINIA FUTURES MANAGEMENT CORP  • PRINCIPAL WITHDRAWN 07/01/1994  • PRINCIPAL APPROVED 09/28/1992  ZABINSKY ASSET MANAGEMENT INC  • PRINCIPAL WITHDRAWN 09/30/1992  • PRINCIPAL APPROVED 07/13/1990  • PRINCIPAL PENDING 05/21/1990