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TR

Todd M. Rosenzweig

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CRD#: 2541880
TR

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Todd Michael Rosenzweig was a registered financial professional .

Todd is a previously registered financial professional and started their career in finance in 1995. Todd had worked at 8 firms and has passed the Series 63, SIE and Series 7 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)

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

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

Past

May 29, 2015 - July 18, 2017

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY
Past

September 9, 2010 - June 30, 2015

MCBARRON CAPITAL LLC

BD
CRD#: 131431
NEW YORK, NY
Past

July 25, 2007 - October 28, 2010

INTERMERCHANT SECURITIES LLC

BD
CRD#: 142734
NEW YORK, NY
Past

February 26, 2007 - August 23, 2007

ANDREW GARRETT INC.

BD
CRD#: 29931
NEW YORK, NY
Past

October 25, 2000 - February 28, 2007

S.W. BACH & COMPANY

BD
CRD#: 43522
NEW YORK, NY
Past

March 10, 1998 - November 14, 2000

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

January 28, 1997 - March 4, 1998

FAIRCHILD FINANCIAL GROUP, INC.

BD
CRD#: 21404
NEW YORK, NY
Past

February 24, 1995 - December 20, 1996

STRATTON OAKMONT INC.

BD
CRD#: 18692
LAKE SUCCESS, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/22/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/18/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/23/1995
General Securities Representative Examination

Current Firm

NS
NATIONAL SECURITIES CORPORATION
NAT'L SECURITIES CORP | WASHINGTON NATIONAL SECURITIES CORPORATION | NTL INSURANCE AGENCY | NSC INSURANCE AGENCY | NATIONAL SECURITIES OF WASHINGTON | NATIONAL SECURITIES CORPORATION | NATIONAL SECURITIES CORP OF WASHINGTON STATE

CRD#: 7569 / SEC#: , 8-164

BD
Terminated by SEC on 10/20/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Washington since 01/06/1947
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
NATIONAL HOLDINGS CORPORATIONPARENT, OWNER
MARKUNAS, MICHAELCHIEF COMPLIANCE OFFICER1832307

Disclosures

Regulatory Event66
Arbitration16

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

NATIONAL SECURITIES CORPORATION

CRD#: 7569

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