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CR

Charles P. Roney

ROSENBLATT SECURITIES
New York, NY 10005
Some features on this profile are disabled
CRD#: 1978773
CR

Professional summary

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

Charles is registered as a RR (Registered Representative) and started their career in finance in 1993. Charles has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 87, Series 7, Series 24, Series 14 and Series 27 exams.

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) - BD

Click below to view Charles Patrick Roney'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

October 3, 2005 - Present

ROSENBLATT SECURITIES INC.

Office #1: 40 Wall Street 59th Floor, New York, NY 10005Office #2: 40 Wall St. 59th Floor, New York, NY 10005
BD
CRD#: 18377
New York, NY
Past

May 4, 2004 - October 4, 2005

THOMAS WEISEL PARTNERS LLC

BD
CRD#: 46237
SAN FRANCISCO, CA
Past

January 23, 1994 - July 29, 2002

P.R. BURKE & CO., INC.

BD
CRD#: 13558
NEW YORK, NY
Past

February 5, 1993 - February 11, 1997

AUERBACH GRAYSON & COMPANY LLC

BD
CRD#: 30761
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
Connecticut
(1/15/2015)
RR
Massachusetts
(5/16/2006)
RR
New York
(10/3/2005)

Exams

State Security Law Exam
RR
Series 63
Date: 5/14/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 6/19/2014
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 8/19/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/4/2004
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 14
Date: 3/27/2002
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 27
Date: 4/30/1991
Financial and Operations 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)
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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)

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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