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Owen B. Rosenblum

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CRD#: 1330416
OR

Professional summary

Owen Brian Rosenblum was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Owen is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Owen had worked at 10 firms, which includes IFMG SECURITIES INC., ESSEX NATIONAL SECURITIES LLC, WAMU INVESTMENTS INC., FUNDMARK INVESTMENT COMPANY SERVICES INC., GREAT WESTERN FINANCIAL SECURITIES CORPORATION, GRUNTAL & CO. L.L.C., MABON NUGENT & CO., THOMSON MCKINNON SECURITIES INC., SWARTWOOD HESSE INC., SEABOARD SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 3, 2004 - January 10, 2007

IFMG SECURITIES, INC.

BD
CRD#: 14416
DELRAY BEACH, FL
Past

November 6, 2000 - April 30, 2004

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NAPA, CA
Past

May 1, 1998 - November 2, 2000

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

November 21, 1990 - March 5, 1992

FUNDMARK INVESTMENT COMPANY SERVICES, INC.

BD
CRD#: 13066
Past

October 4, 1990 - May 1, 1998

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

BD
CRD#: 14229
NORTHRIDGE, CA
Past

April 17, 1989 - October 12, 1990

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

June 12, 1987 - May 2, 1989

MABON, NUGENT & CO.

BD
CRD#: 2617
Past

November 10, 1986 - June 8, 1987

THOMSON MCKINNON SECURITIES INC.

BD
CRD#: 829
Past

February 19, 1985 - November 26, 1986

SWARTWOOD, HESSE INC.

BD
CRD#: 8603
Past

January 23, 1985 - February 19, 1985

SEABOARD SECURITIES, INC.

BD
CRD#: 755

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/15/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/6/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/19/1985
General Securities Representative Examination

Current Firm

IS
IFMG SECURITIES, INC.
IFMG SECURITIES, INC. | TORCHMARK BROKERAGE SERVICES, INC. | LIBERTY SECURITIES CORPORATION

CRD#: 14416 / SEC#: , 8-30670

BD
Terminated by SEC on 11/09/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 05/03/1991
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LPL HOLDINGS, INC.PARENT COMPANY
ARNOLD, DAN HOGAN JRDIRECTOR, VICE PRESIDENT, SECRETARY2557410
MAHER, CHARLES WILLIAMDIRECTOR2085378
VANNOY-PINEDA, KATHLEEN DENISECHIEF COMPLIANCE OFFICER1347526

Disclosures

Regulatory Event5
Arbitration4

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

IFMG SECURITIES, INC.

CRD#: 14416

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