JR
John S. Rosenfeld
HEALTHCARE COMMUNITY SECURITIES
Rensselaer, NY 12144
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CRD#: 2687818
JR
Professional summary
John Steven Rosenfeld is a registered financial professional currently at HEALTHCARE COMMUNITY SECURITIES CORP. located in Rensselaer, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1997. John has worked at 3 firms and has passed the Series 63, SIE and Series 6 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.
CRS (Client Relationship Summary) - BD
Click below to view John Steven Rosenfeld's 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®
NoneExperience
Current
October 19, 2015 - Present
HEALTHCARE COMMUNITY SECURITIES CORP.
Office #1: One Empire Drive, Rensselaer, NY 12144RIA
BD
CRD#: 36026
Rensselaer, NY
Past
December 19, 2001 - October 22, 2015
HAMILTON CAVANAUGH & ASSOCIATES, INC.
BD
CRD#: 35972
WHITE PLAINS, NY
Past
August 4, 1997 - November 29, 2001
TRANSAMERICA INVESTORS SECURITIES, LLC
BD
CRD#: 32205
HARRISON, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HC
HEALTHCARE COMMUNITY SECURITIES CORP.
HANYS BENEFIT SERVICES | TRUEPLAN BENEFIT AND RETIREMENT ADVISORS | STRATEGIC BENEFIT SERVICES | HEALTHCARE COMMUNITY SECURITIES CORPORATION | HEALTHCARE COMMUNITY SECURITIES CORP.
CRD#: 36026 / SEC#: 801-67370, 8-46981
RIA
Registered Investment Advisory firm - SEC (1/5/2007 Approved)New York
Registered Investment Advisory firm - SEC (3/25/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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(10/19/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HC
HEALTHCARE COMMUNITY SECURITIES CORP.
HANYS BENEFIT SERVICES | TRUEPLAN BENEFIT AND RETIREMENT ADVISORS | STRATEGIC BENEFIT SERVICES | HEALTHCARE COMMUNITY SECURITIES CORPORATION | HEALTHCARE COMMUNITY SECURITIES CORP.
CRD#: 36026 / SEC#: 801-67370, 8-46981
RIA
Registered Investment Advisory firm - SEC (1/5/2007 Approved)New York
Registered Investment Advisory firm - SEC (3/25/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
One Empire Drive, Rensselaer, NY 12144
Mailing Address
One Empire Drive, Rensselaer, NY 12144
Phone number
(518) 431-7600
Established
New York since 07/21/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
11
SEC notice filing (4 States and Territories)
FINRA licenses (3 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GROUP INSURANCE AGENCY | PARENT CORPORATION | |
| BORYSZAK, MARTIN W | BOARD OF DIRECTOR | 7879632 |
| BUCK, NOAH PATRICK | PRESIDENT | 7071368 |
| CUSACK, MICHELE L. | BOARD OF DIRECTOR | 8030752 |
| GELLER, MARK ELI | BOARD OF DIRECTOR | 7880534 |
| HAYES, MARY KATHERINE | CFO | 6496056 |
| LAROSE, JENNIFER | CHIEF COMPLIANCE OFFICER | 3094139 |
| MANZER, ANDREW RAYMOND | BOARD OF DIRECTOR | 6852044 |
| MCCOLLUM, CYNTHIA | BOARD OF DIRECTOR | 7564445 |
| RATNER, JOSHUA S | BOARD OF DIRECTOR | 7880541 |
| SCHILLER, JONATHAN DAVID | BOARD OF DIRECTOR | 7880562 |
| SMITH, JAMES | BOARD OF DIRECTOR | 8030764 |
| THOMAS, HUGH RICHARD | BOARD OF DIRECTOR | 6852059 |
| VERZI, DENNIS JAMES | BOARD OF DIRECTORS | 6468921 |
Regulatory assets under management
| Total Number of Accounts | 110 |
| AUM (Assets Under Management) | $ 4,551,889,453 |
Disclosures
| Regulatory Event | 1 |
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.
