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For Advisors
CA

Conrad J. Andringa

ROSENBLATT SECURITIES
New York, NY 10005
Some features on this profile are disabled
CRD#: 2394805
CA

Professional summary

Conrad Jeffrey Andringa, who also goes by Jeff Andringa, is a registered financial professional currently at ROSENBLATT SECURITIES INC. located in New York, New York.

Conrad is registered as a RR (Registered Representative) and started their career in finance in 1993. Conrad has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeff Andringa

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 Conrad Jeffrey Andringa'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 24, 2019 - Present

ROSENBLATT SECURITIES INC.

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

June 3, 2016 - May 29, 2018

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
DENVER, CO
Past

June 3, 2016 - May 29, 2018

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
DENVER, CO
Past

April 1, 2013 - June 8, 2016

ROBERT W. BAIRD & CO. INCORPORATED

RIA
CRD#: 8158
BOULDER, CO
Past

April 1, 2013 - June 8, 2016

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
BOULDER, CO
Past

March 4, 2013 - April 1, 2013

ROSENBLATT SECURITIES INC.

BD
CRD#: 18377
GREENWOOD VILLAGE, CO
Past

September 1, 2011 - March 22, 2013

WEDGE SECURITIES, LLC

BD
CRD#: 126776
GREENWOOD VILLAGE, CO
Past

April 25, 2008 - August 30, 2011

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA
CRD#: 793
DENVER, CO
Past

April 25, 2008 - August 30, 2011

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
DENVER, CO
Past

May 21, 2007 - August 27, 2008

THOMPSON INVESTMENT MANAGEMENT, INC.

RIA
CRD#: 129609
MADISON, WI
Past

May 14, 2007 - April 10, 2008

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

March 3, 2005 - February 9, 2007

RBC CAPITAL MARKETS CORPORATION

BD
CRD#: 6579
DENVER, CO
Past

November 16, 2004 - March 7, 2005

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

May 28, 2004 - November 10, 2004

UBS CAPITAL MARKETS L.P.

BD
CRD#: 2692
STAMFORD, CT
Past

February 3, 2003 - June 2, 2004

SOUNDVIEW TECHNOLOGY CORPORATION

BD
CRD#: 15425
OLD GREENWICH, CT
Past

April 27, 2000 - January 31, 2003

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

September 23, 1993 - April 28, 2000

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI

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
California
(5/28/2019)
RR
Colorado
(7/11/2019)
RR
Florida
(12/11/2024)
RR
Illinois
(1/2/2020)
RR
New York
(7/24/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/16/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/12/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/29/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 3/17/2014
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/22/1993
General Securities Representative Examination
SRO Registrations
RR
FINRA
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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