William P. Robertson

ROSENBLATT SECURITIES

New York, NY 10005

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CRD#: 1850299

Professional summary

William Patrick Robertson is a registered financial professional currently at ROSENBLATT SECURITIES INC. located in New York, New York.

William is registered as a RR (Registered Representative) and started their career in finance in 1997. William has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view William Patrick Robertson'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

May 30, 2023 - Present

ROSENBLATT SECURITIES INC.

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

CRD#: 18377

New York, NY

Past

January 31, 2023 - June 1, 2023

ROTH CAPITAL PARTNERS, LLC

CRD#: 15407

NEWPORT BEACH, CA

Past

November 8, 2013 - January 31, 2023

MKM PARTNERS LLC

CRD#: 114666

STAMFORD, CT

Past

September 10, 2007 - November 5, 2013

FM PARTNERS HOLDINGS LLC

CRD#: 134736

NEW YORK, NY

Past

October 6, 2005 - September 4, 2007

W.R. HAMBRECHT + CO., LLC

CRD#: 45040

STAMFORD, CT

Past

September 21, 2004 - October 3, 2005

FULCRUM GLOBAL PARTNERS LLC

CRD#: 104455

NEW YORK, NY

Past

January 12, 2004 - September 22, 2004

UBS CAPITAL MARKETS L.P.

CRD#: 2692

STAMFORD, CT

Past

December 9, 1997 - January 12, 2004

SOUNDVIEW TECHNOLOGY CORPORATION

CRD#: 15425

OLD GREENWICH, CT

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
(12/12/2024)

Connecticut
(5/30/2023)

Florida
(12/12/2024)

New York
(5/30/2023)

Texas
(12/12/2024)

Virginia
(12/12/2024)

Exams

State Security Law Exam

Series 63

Date: 9/30/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/26/1997

General Securities Representative Examination

SRO Registrations

FINRA

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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Firm Stability Insights

William P. Robertson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Patrick Robertson's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROTH CAPITAL PARTNERS, LLC

MKM PARTNERS LLC

FM PARTNERS HOLDINGS LLC

W.R. HAMBRECHT + CO., LLC

FULCRUM GLOBAL PARTNERS LLC

UBS CAPITAL MARKETS L.P.

SOUNDVIEW TECHNOLOGY CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 9/30/1998

SIE

Date: 10/1/2018

Series 7

Date: 11/26/1997

FINRA

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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