Barton E. Crockett

ROSENBLATT SECURITIES

New York, NY 10005

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CRD#: 3236438

Professional summary

Barton Evans Crockett, who also goes by Bart Crockett, Barton E Crockett, is a registered financial professional currently at ROSENBLATT SECURITIES INC. located in New York, New York.

Barton is registered as a RR (Registered Representative) and started their career in finance in 1999. Barton has worked at 7 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bart Crockett | Barton E Crockett

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) - BD

Click below to view Barton Evans Crockett's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 7, 2022 - Present

ROSENBLATT SECURITIES INC.

Office #1: 40 Wall Street 59th Floor, New York, NY 10005

CRD#: 18377

New York, NY

Past

October 18, 2013 - January 17, 2019

B. RILEY SECURITIES, INC.

CRD#: 25027

ARLINGTON, VA

Past

February 3, 2009 - October 17, 2013

FM PARTNERS HOLDINGS LLC

CRD#: 134736

NEW YORK, NY

Past

October 1, 2008 - December 17, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

May 1, 2001 - October 1, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

February 5, 2001 - May 1, 2001

JPMSI

CRD#: 15733

NEW YORK, NY

Past

February 1, 2000 - February 5, 2001

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

September 1, 1999 - February 1, 2000

HAMBRECHT & QUIST LLC

CRD#: 940

SAN FRANCISCO, CA

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: 4/14/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 3/2/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 2/26/2005

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 8/31/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/25/2017

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

New York Stock Exchange

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)

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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.

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Advisor Monitoring

Firm Stability Insights

Barton E. Crockett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Barton Evans Crockett's CRS (Customer Relationship Summary).

Certified licenses

Experience

B. RILEY SECURITIES, INC.

FM PARTNERS HOLDINGS LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

JPMSI

J.P. MORGAN SECURITIES INC.

HAMBRECHT & QUIST LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/14/2022

SIE

Date: 10/1/2018

Series 87

Date: 3/2/2005

Series 86

Date: 2/26/2005

Series 7

Date: 8/31/1999

Series 24

Date: 1/25/2017

FINRA

New York Stock Exchange

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

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