Richard Allan Rosenblatt
Professional Summary
Richard Allan Rosenblatt is a registered financial advisor currently at ROSENBLATT SECURITIES INC. located in New York, New York. Richard is registered as a RR (Registered Representative) and started their career in finance in 2008. Richard has worked at 2 firms and has passed the Series 57TO, Series 99TO, SIE, Series 55 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
RICHARD A. ROSENBLATT & COMPANY, INC. | ROSENBLATT SECURITIES INC.
Contact Information
Main Address
40 Wall Street 59th Floor, New York, NY 10005Mailing Address
40 Wall Street 59th Floor, New York, NY 10005Phone Number
(212) 607-3100Established
New York since 08/29/1979Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (15 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(1/9/1992)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Dec 2006SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard Allan Rosenblatt's CRS (Customer Relationship Summary).
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