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JR

Jordan E. Rohan

Some features on this profile are disabled
CRD#: 2963143
JR

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.

Jordan Elliot Rohan was a registered financial professional .

Jordan is a previously registered financial professional and started their career in finance in 1997. Jordan had worked at 11 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 7 and Series 24 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.

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 24, 2016 - December 24, 2019

OLD CITY SECURITIES LLC

BD
CRD#: 171910
NEW YORK, NY
Past

July 10, 2010 - June 30, 2014

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
NEW YORK, NY
Past

January 18, 2010 - July 16, 2010

THOMAS WEISEL PARTNERS LLC

BD
CRD#: 46237
NEW YORK, NY
Past

February 29, 2008 - March 28, 2008

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
MIAMI, FL
Past

December 8, 2004 - February 29, 2008

RBC CAPITAL MARKETS CORPORATION

BD
CRD#: 6579
MIAMI, FL
Past

August 16, 2004 - November 9, 2004

SOUNDVIEW TECHNOLOGY CORPORATION

BD
CRD#: 15425
OLD GREENWICH, CT
Past

April 23, 2004 - August 16, 2004

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

February 29, 2000 - April 30, 2004

SOUNDVIEW TECHNOLOGY CORPORATION

BD
CRD#: 15425
OLD GREENWICH, CT
Past

April 2, 1999 - December 31, 2000

WIT CAPITAL CORPORATION

BD
CRD#: 41499
OLD GREENWICH, CT
Past

October 16, 1998 - April 9, 1999

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

June 18, 1998 - June 29, 1998

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650
STAMFORD, CT
Past

December 16, 1997 - October 26, 1998

UBS SECURITIES LLC

BD
CRD#: 7654
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
RR
Series 63
Date: 8/11/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 2/18/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 1/26/2005
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 12/15/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/18/2004
General Securities Principal Examination

Current Firm

OC
OLD CITY SECURITIES LLC
OLD CITY SECURITIES LLC

CRD#: 171910 / SEC#: , 8-69488

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
589 Fifth Avenue Ph, New York, NY 10017
Mailing Address
445 Central Avenue, Suite 328, Cedarhurst, NY 11516
Phone number
(212) 671-1976
Established
New York since 04/25/2014
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 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#
OLD CITY SECURITIES HOLDINGS GPHOLDING COMPANY
BARNETT, TREVOR CLARKMEMBER4722196
DAMSKI, SETH ADAMFOUNDING MEMBER2940303
FELDMAN, EYTAN DOVMEMBER, CCO, EXECUTIVE REP, AML SUPERVISOR5708084
MARRONE, MICHAEL THOMASFINOP
SIRIGNANO, GEORGE AMERICUSMANAGING MEMBER6678999

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

OLD CITY SECURITIES LLC

CRD#: 171910

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