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Jonah Rosenblatt

CRD# 2276369·Registered 1993 - 1999
Barred: Jonah Rosenblatt was barred by the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Jonah Rosenblatt was a registered financial advisor. Jonah was a previously registered financial professional and started their career in finance 1993 - 1999. Jonah had worked at 5 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

34 years in the financial services industry

Current & Past Employments

RUSSO SECURITIES INC.·CRD# 14425
BD
Staten Island, NY
March 7, 1994 - October 21, 1999
LCP CAPITAL CORP.·CRD# 14469
BD
Staten Island, NY
November 2, 1993 - February 2, 1994
RUSSO SECURITIES INC.·CRD# 14425
BD
Staten Island, NY
June 23, 1993 - October 25, 1993
CORTLANDT CAPITAL CORPORATION·CRD# 25152
BD
New York City, NY
May 27, 1993 - June 18, 1993
ALLIED CAPITAL, INC.·CRD# 25975
BD
New York, NY
March 19, 1993 - May 28, 1993
CHURCHILL SECURITIES, INC.·CRD# 10343
BD
Suffern, NY
January 25, 1993 - March 18, 1993

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Current Firm

RS
RUSSO SECURITIES INC.

RUSSO SECURITIES INC.

CRD#: 14425 / SEC#: 8-24052
BD
Cancelled by SEC on 10/04/2006

Contact Information

Established

New York since 03/20/1979

Firm Type

Corporation

Fiscal Year End

June

Documents

Direct owners and executive officers

NamePositionCRD#
RUSSO, FERDINANDDIR, CROP, SROP, FINOP (5/23/00), CHAIRMAN OF BOARDCO-PRES., SECTY., TREAS., CFO407767
RUSSO, RICHARD ANTHONYDIR, CHAIRMAN OF BOARD, CO-PRESIDENT,1208819

Disclosures

Regulatory Event

20

Civil Event

1

Arbitration

9

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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

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1993About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Nov 1992About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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JR
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