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RM

Richard B. Mcdermott

ROSENBLATT SECURITIES
New York, NY 10005
Some features on this profile are disabled
CRD#: 1862018
RM

Professional summary

Richard Bissell Mcdermott, who also goes by Richard B Mcdermott, is a registered financial professional 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 1991. Richard has worked at 12 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard B Mcdermott

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 Richard Bissell Mcdermott'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

February 26, 2024 - Present

ROSENBLATT SECURITIES INC.

Office #1: 40 Wall St. 59th Floor, New York, NY 10005
BD
CRD#: 18377
New York, NY
Past

October 22, 2020 - March 4, 2024

GT SECURITIES, INC.

BD
CRD#: 116012
LOS ANGELES, CA
Past

March 7, 2017 - October 31, 2018

SILVER LEAF PARTNERS, LLC

BD
CRD#: 126694
NEW YORK, NY
Past

August 8, 2016 - March 1, 2017

BUTLER CAPITAL PARTNERS

BD
CRD#: 114242
OYSTER BAY, NY
Past

August 1, 2013 - March 18, 2016

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
NEW YORK, NY
Past

March 3, 2008 - May 29, 2013

FM PARTNERS HOLDINGS LLC

BD
CRD#: 134736
NEW YORK, NY
Past

March 14, 2006 - February 20, 2008

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

July 8, 2004 - March 3, 2006

SCHOTTENFELD GROUP LLC

BD
CRD#: 128103
NEW YORK, NY
Past

April 24, 2000 - July 1, 2004

PUGLISI & CO.

BD
CRD#: 19451
NEW YORK, NY
Past

August 7, 1995 - April 10, 2000

BEECH HILL SECURITIES, INC.

BD
CRD#: 24771
NEW YORK, NY
Past

May 25, 1993 - August 18, 1995

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

August 20, 1991 - May 25, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
New York
(2/26/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 6/13/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 1/2/2018
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 6/5/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/22/2010
General Securities Principal Examination
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

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

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

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GAWRONSKI, JOSEPH CHARLES JRPRESIDENT, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER, DIRECTOR2946954
ROSENBLATT, RICHARD ALLANCHAIRMAN RETIRED1557345
FRAIN, JOURDAN BLAKECOO5745300
RONEY, CHARLES PATRICKCHIEF COMPLIANCE OFFICER1978773

Disclosures

Regulatory Event6

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

ROSENBLATT SECURITIES INC.

CRD#: 18377New York, NY 10005

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