Adam A. Blumenfeld
Professional summary
Adam Andrew Blumenfeld is a registered financial professional currently at UPHOLD SECURITIES INC. located in New York, New York.
Adam is registered as a RR (Registered Representative) and started their career in finance in 1996. Adam has worked at 2 firms and has passed the Series 63, Series 99TO, Series 7TO, Series 57TO, SIE, Series 55, Series 25, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Adam Andrew Blumenfeld's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 5, 2024 - Present
UPHOLD SECURITIES INC.
Office #1: 530 Fifth Avenue 3rd Floor, New York, NY 10036October 1, 2000 - May 9, 2023
UPHOLD SECURITIES INC.
August 14, 1996 - July 18, 1997
LADENBURG CAPITAL MANAGEMENT INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/5/2024)
Exams
Series 99TO
Date: 1/31/2025
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/14/2007
Limited Representative-Equity Trader ExamSeries 25
Date: 11/18/1999
NYSE Trading Assistant ExaminationFINRA
Current Firm
UPHOLD SECURITIES INC.
CRD#: 34071 / SEC#: , 8-46202
Contact information
FINRA licenses (12 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UPHOLD, INC. | PARENT | |
| SNYDER, CURTIS LEE JR | PRESIDENT & COO/CFO/CCO | 1885111 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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