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KR

Kenneth I. Rosenblum

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CRD#: 1433122
KR

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kenneth Ira Rosenblum was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1985. Kenneth had worked at 3 firms and has passed the Series 63 exam.

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

October 24, 1990 - March 5, 2012

SF INVESTMENTS, INC.

BD
CRD#: 6564
HIGHLAND PARK, IL
Past

October 13, 1989 - October 31, 1990

CITIZENS JMP SECURITIES, LLC

BD
CRD#: 22208
SAN FRANCISCO, CA
Past

November 26, 1985 - October 17, 1989

DFA SECURITIES LLC

BD
CRD#: 10292
AUSTIN, TX

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
RR
Series 63
Date: 6/26/1991
Uniform Securities Agent State Law Examination

Current Firm

SI
SF INVESTMENTS, INC.
SF INVESTMENT ADVISERS | SUCSY, FISCHER SECURITIES | SF INVESTMENTS, INC.

CRD#: 6564 / SEC#: 801-66533, 8-34069

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
799 Central Ave. Suite 350, Highland Park, IL 60035
Mailing Address
799 Central Ave, Highland Park, IL 60035
Phone number
(847) 926-5700
Established
Illinois since 05/09/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A: SF INVESTMENT ADVISERS (3/30/2012)

Direct owners and executive officers

NamePositionCRD#
DANIEL SHAPIRO GIFT TRUSTSHAREHOLDER - TRUSTEE IS A CONTOL PERSON; NON -VOTING SHARES
LESLEY SHAPIRO BEIDER GIFT TRUSTSHAREHOLDER - TRUSTEE IS NOT A CONTROL PERSON; NON-VOTING SHARES
STEVEN SHAPIRO GIFT TRUSTSHAREHOLDER - TRUSTEE IS A CONTROL PERSON; NON-VOTING SHARES
JUST, GARY ALANCHIEF FINANCIAL OFFICER/FINANCIAL AND OPERATIONS PRINCIPAL, CHIEF COMPLIANCE OFFICER2101902
SHAPIRO BEIDER, LESLEY ETRUSTEE LESLEY SHAPIRO BEIDER GIFT TRUST
SHAPIRO, DANIEL MARKCEO, TRUSTEE OF DANIEL SHAPIRO GIFT TRUST1989147
SHAPIRO, STEVEN ARTHURVICE PRESIDENT/CHIEF INVESTMENT OFFICER, TRUSTEE STEVEN SHAPIRO GIFT TRUST2153746

Disclosures

Regulatory Event4

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.

Company Information

SF INVESTMENTS, INC.

CRD#: 6564

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