David W. Rovelli

Some features on this profile are disabled

CRD#: 2730210

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.

David William Rovelli was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1996. David had worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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

September 28, 2020 - March 11, 2022

ROSENBLATT SECURITIES INC.

CRD#: 18377

NEW YORK, NY

Past

September 6, 2018 - January 2, 2020

T3 TRADING GROUP, LLC

CRD#: 154431

Millburn, NJ

Past

March 12, 2018 - May 29, 2018

PUMA CAPITAL, LLC

CRD#: 146744

RYE, NY

Past

February 10, 2015 - July 26, 2017

COWEN EXECUTION SERVICES LLC

CRD#: 35693

NEW YORK, NY

Past

March 26, 2012 - September 27, 2012

CANACCORD GENUITY SECURITIES LLC

CRD#: 24790

NEW YORK, NY

Past

November 27, 2007 - March 2, 2015

CANACCORD GENUITY LLC

CRD#: 1020

NEW YORK, NY

Past

March 10, 2005 - October 3, 2005

E*TRADE CLEARING LLC

CRD#: 25025

JERSEY CITY, NJ

Past

March 10, 2005 - November 28, 2007

G1 EXECUTION SERVICES, LLC

CRD#: 111528

NEW YORK, NY

Past

October 7, 1997 - March 9, 2005

UBS CAPITAL MARKETS L.P.

CRD#: 2692

STAMFORD, CT

Past

August 15, 1996 - May 15, 1997

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, 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

Series 63

Date: 10/12/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/9/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/14/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/4/2004

General Securities Principal Examination

Current Firm

ROSENBLATT SECURITIES INC.

RICHARD A. ROSENBLATT & COMPANY, INC. | ROSENBLATT SECURITIES INC.

CRD#: 18377 / SEC#: , 8-24255

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
GAWRONSKI, JOSEPH CHARLES JR	PRESIDENT, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER, DIRECTOR	2946954
ROSENBLATT, RICHARD ALLAN	CHAIRMAN RETIRED	1557345
FRAIN, JOURDAN BLAKE	COO	5745300
RONEY, CHARLES PATRICK	CHIEF COMPLIANCE OFFICER	1978773

Disclosures

Regulatory Event

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David W. Rovelli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

T3 TRADING GROUP, LLC

PUMA CAPITAL, LLC

COWEN EXECUTION SERVICES LLC

CANACCORD GENUITY SECURITIES LLC

CANACCORD GENUITY LLC

E*TRADE CLEARING LLC

G1 EXECUTION SERVICES, LLC

UBS CAPITAL MARKETS L.P.

GRUNTAL & CO., L.L.C.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/12/2020

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 3/9/1999

Series 7

Date: 8/14/1996

Series 24

Date: 8/4/2004

Current Firm

ROSENBLATT SECURITIES INC.

Contact information

FINRA licenses (15 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ROSENBLATT SECURITIES INC.

TRUST BUT VERIFY

Similar Advisors