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JG

John E. Gorman

ROSENBLATT SECURITIES
New York, NY 10005
Some features on this profile are disabled
CRD#: 2511385
JG

Professional summary

John Edward Gorman JR is a registered financial professional currently at ROSENBLATT SECURITIES INC. located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 1994. John has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 25, Series 55, Series 7, Series 9, Series 10, Series 4 and Series 24 exams.

top-8-questions

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 John Edward Gorman JR'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 24, 2024 - Present

ROSENBLATT SECURITIES INC.

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

May 25, 2010 - October 28, 2024

DRIVEWEALTH INSTITUTIONAL LLC

BD
CRD#: 33038
NEW YORK, NY
Past

August 1, 2005 - June 16, 2010

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

July 9, 2003 - August 2, 2005

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY
Past

November 12, 2001 - July 18, 2003

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

October 30, 2001 - November 7, 2001

H. G. WELLINGTON & CO., INC.

BD
CRD#: 7536
NEW YORK, NY
Past

February 28, 2000 - September 28, 2001

APEX CLEARING CORPORATION

BD
CRD#: 13071
DALLAS, TX
Past

August 21, 1995 - March 24, 2000

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY
Past

July 27, 1994 - August 10, 1994

ROYCE INVESTMENT GROUP, INC.

BD
CRD#: 10494
WOODBURY, 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
(10/24/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 8/2/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 25
Date: 5/9/2002
NYSE Trading Assistant Examination
General Industry/Product Exam
RR
Series 55
Date: 11/18/1998
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/26/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/24/2024
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/17/2021
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/16/1999
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)
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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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