Michael B. James

ROSENBLATT SECURITIES

New York, NY 10005

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CRD#: 1627261

Professional summary

Michael Benjamin James, who also goes by Mike James, is a registered financial professional currently at ROSENBLATT SECURITIES INC. located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1987. Michael has worked at 6 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mike James

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 Titanium Group; Investment Related; Los Angeles, CA; DBA for business done through Wedbush Securities; Financial Advisor; Approx 2 hours weekly during trading hours; DBA

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Benjamin James's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

March 24, 2025 - Present

ROSENBLATT SECURITIES INC.

Office #1: 40 Wall Street 59th Floor, New York, NY 10005

CRD#: 18377

New York, NY

Past

April 20, 2018 - December 15, 2024

WEDBUSH SECURITIES INC.

RIA

CRD#: 877

LOS ANGELES, CA

Past

October 23, 2017 - December 15, 2024

WEDBUSH SECURITIES INC.

CRD#: 877

LOS ANGELES, CA

Past

January 5, 2017 - October 26, 2017

T3 TRADING GROUP, LLC

CRD#: 154431

NEW YORK, NY

Past

June 21, 1999 - January 3, 2017

WEDBUSH SECURITIES INC.

CRD#: 877

LOS ANGELES, CA

Past

August 27, 1992 - September 13, 1993

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

September 24, 1987 - October 18, 1990

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

April 29, 1987 - September 14, 1987

SALOMON BROTHERS INC.

CRD#: 740

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(4/2/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 4/19/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/26/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 1/19/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 1/13/1999

General Securities Representative Examination

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE American LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

ROSENBLATT SECURITIES INC.

RICHARD A. ROSENBLATT & COMPANY, INC. | ROSENBLATT SECURITIES INC.

CRD#: 18377 / SEC#: , 8-24255

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

40 Wall Street 59th Floor, New York, NY 10005

Mailing Address

40 Wall Street 59th Floor, New York, NY 10005

Phone number

(212) 607-3100

Established

New York since 08/29/1979

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (15 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
GAWRONSKI, JOSEPH CHARLES JR	PRESIDENT, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER, DIRECTOR	2946954
ROSENBLATT, RICHARD ALLAN	CHAIRMAN RETIRED	1557345
FRAIN, JOURDAN BLAKE	COO	5745300
RONEY, CHARLES PATRICK	CHIEF COMPLIANCE OFFICER	1978773

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Michael B. James

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Benjamin James's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEDBUSH SECURITIES INC.

WEDBUSH SECURITIES INC.

T3 TRADING GROUP, LLC

WEDBUSH SECURITIES INC.

J.P. MORGAN SECURITIES LLC

RAYMOND JAMES & ASSOCIATES, INC.

SALOMON BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/19/2018

Series 63

Date: 1/26/1999

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 1/19/2000

Series 7

Date: 1/13/1999

Cboe BZX Exchange, Inc.

FINRA

Investors' Exchange LLC

NYSE American LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

ROSENBLATT SECURITIES INC.

Contact information

FINRA licenses (15 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ROSENBLATT SECURITIES INC.

TRUST BUT VERIFY

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