Expert Review

Rod Loewenthal- Hidden Disclosures & Lawsuits


Who is Rod Loewenthal (CRD#: 2617142)?

Rod Loewenthal is a Financial Advisor at UBS Wealth Management. He began his work as a financial analyst for a prominent investment firm.

He began working in financial management about 27 years ago. Rod provides long-term financial planning to businessmen and corporate executives in order to protect and build their money.

Rod Loewenthal earned a bachelor’s degree in history with honors from the University of Michigan’s College of Literature, Science, and the Arts.

Rod Loewenthal is a highly experienced Senior Collection Manager who, besides providing conventional guidance and advice, can assist clients in achieving their goals by creating and overseeing my own customized or stated strategies, which may include human being bonds and stocks, UBS model investments, and independent investment strategies.

A Senior Portfolio Director can oversee his strategies on an individual basis while serving customers through the firm’s Financial Advisory Program. Rod Loewenthal graduated and attended the College of Michigan with honors in History.


About UBS Wealth Management:

UBS Financial Solutions Inc. is a brokerage firm as well as an investment advisor. The Company specializes in the purchase and sale of assets such as bonds, mutual funds, stocks, and other investments, as well as the management of investment portfolios and the provision of financial planning services. UBS Financial Services operates on a global scale.

UBS Investment Bank provides professional guidance, innovative solutions, execution, and complete access to worldwide capital markets to corporate, institutional, and wealth management clients.

UBS Financial Solutions INC. strives to provide exceptional value to our clients, shareholders, and employees. And to be known as a champion in our industry for our experience, counsel, and execution, as well as our positive impact on society, our place of employment, and our financial success.


From our Swiss origins to our worldwide reach, the organization has always understood the true significance of long-term commitment. There are many services or products provided by UBS Financial Services Inc to their clients are

Bespoke Financing

The organization has the expertise and capacity to build the correct financing arrangement for our clients, whether it is long-term, simple, or complex.

They collaborate with our customers on specific, organized, and leveraged finance initiatives by combining their insights with our transactional knowledge.

Advisory or M&A

An M&A acquisition can be a watershed point in the life of any company. It’s a moment when sound counsel and assistance can be crucial.

UBS Financial Services INC. has access to one of the industry’s deepest and widest M&A businesses for sales, mergers, acquisitions, and mergers of both private and public enterprises.

What is SEC?

The Securities and Exchange Commission (SEC) in the United States is a federal government regulatory agency that works independently. Its main responsibility is to safeguard investors, ensure the securities markets operate in a fair and orderly manner, and facilitate capital formation.


Rod Loewenthal Disclosures: BrokerCheck, FINRA, And SEC Reports

Employment history, academic credentials, disciplinary actions, criminal convictions, and civil decisions, including arbitrator awards, as well as reporting events, are all contained in Rod Loewenthal’s BrokerCheck report. As a consequence, no information regarding Rod Loewenthal’s disclosure is supplied.

Financial Advisors often take down their client disputes from FINRA’s Public database through Disclosure Expungement. Even law firms provide expungement services to FAs so that they can hide or remove their client disputes and maintain a clean record. So the lack of any disclosures on BrokerCheck doesn’t necessarily mean that the broker hasn’t had any disputes in the past.
6/12/2023 Update
As of now, Rod Loewenthal has not responded, nor has he apologized for his misdeeds. He has ignored our efforts to highlight the problems faced by his victims. Furthermore, he has only focused on propagating his fake PR.

FINRA’s BrokerCheck

individual_2617142.pdf (

SEC Litigations & Forms

Rod 1

Source: Rod Loewenthal – SEC Site Search Search Results


Rod Loewenthal Lawsuits, Legal Battles, & Disputes

The great majority of court cases filed in the United States of America are preserved by CourtListener, UniCourt,, Justia, Trellis Law, and Law360. If Rod Loewenthal was ever involved in an incident, you can research the relevant records by clicking on the links listed below.

There might be more pending lawsuits against Rod Loewenthal which are not listed on these directories. Lawsuit files are often deleted from online directories. So if you cannot find any lawsuits against Rod Loewenthal on these websites, you can contact the local authorities and check if they have a physical copy of any cases.


Rod Loewenthal Complaints, Class Action Lawsuits & Legal Battles

The following websites/directories are the best sources for finding complaints, litigations, and disputes against finance advisors. You can find all the complaints against Rod Loewenthal using the websites down below:

You can contact the law firms mentioned above if you are facing issues with Rod Loewenthal or any financial advisor.


Frequently Asked QuestionsFind the answers to your most common questions related to Rod Loewenthal & UBS Wealth Management

Where is Rod Loewenthal located?

Northbrook, IL

What are Rod Loewenthal’s qualifications

Bachelor’s degree in History

Is Rod Loewenthal facing any lawsuits?


Has Rod Loewenthal been charged by the SEC?


How do I contact Rod Loewenthal?


Does Rod Loewenthal have any disclosures?


Which Firm does Rod Loewenthal work with?

UBS Wealth Management

What is Rod Loewenthal’s CRD Number?

(CRD#: 2617142)

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