Bertram H. Rosenblatt
Professional summary
Bertram Howard Rosenblatt was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Bertram is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Bertram had worked at 8 firms, which includes INSTITUTIONAL EQUITY CORPORATION, AEGIS CAPITAL CORP., J. GREGORY & COMPANY INC., REICH & CO. INC., HASAN GROWNEY CO. INC., J F LOWE & COMPANY INCORPORATED, GREENTREE SECURITIES CORP., BROOKS WEINGER ROBBINS & LEEDS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 1994 - December 19, 1997
INSTITUTIONAL EQUITY CORPORATION
July 7, 1993 - October 12, 1994
AEGIS CAPITAL CORP.
December 18, 1991 - June 17, 1993
J. GREGORY & COMPANY, INC.
April 22, 1991 - October 8, 1991
REICH & CO., INC.
March 13, 1990 - May 22, 1991
HASAN GROWNEY CO. INC.
January 3, 1989 - January 17, 1990
J F LOWE & COMPANY INCORPORATED
January 25, 1988 - December 13, 1988
GREENTREE SECURITIES CORP.
September 8, 1984 - February 3, 1988
BROOKS WEINGER ROBBINS & LEEDS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
INSTITUTIONAL EQUITY CORPORATION
CRD#: 19628 / SEC#: , 8-37654
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSTITUTIONAL EQUITY HOLDINGS, INC. | COMMON SHAREHOLDER | |
| SHUEY, ROBERT ALTON | MANAGING DIRECTOR OF CORPORATE FINANCE | 710362 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
