Norman M. Rosenblum
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.
Norman Mark Rosenblum, who also goes by Norman M Rosenblum, was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1972. Norman had worked at 15 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2010 - December 31, 2024
PLANMEMBER SECURITIES CORPORATION
November 3, 2010 - December 31, 2024
PLANMEMBER SECURITIES CORPORATION
October 23, 2008 - November 15, 2010
OSAIC FA, INC.
October 22, 2008 - November 15, 2010
OSAIC FA, INC.
May 4, 2004 - September 4, 2008
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
May 3, 2004 - September 4, 2008
NEWEDGE SECURITIES, LLC
November 23, 1998 - May 4, 2004
FDX ADVISORS, INC.
November 19, 1998 - May 3, 2004
LONDON PACIFIC SECURITIES, INC.
June 14, 1993 - December 31, 1996
VOYA FINANCIAL ADVISORS, INC.
November 19, 1989 - November 12, 1998
OSAIC WEALTH, INC.
November 3, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
May 23, 1986 - November 3, 1988
CHRISTOPHER WEIL & COMPANY, INC
November 1, 1985 - June 12, 1986
FINANCIAL ADVISORY CLINIC INVESTMENTS, INC.
March 14, 1985 - May 27, 1986
GREEN HILL FINANCIAL SERVICE CORPORATION
February 9, 1984 - March 6, 1985
CONSECO FINANCIAL SERVICES, INC.
July 10, 1972 - March 12, 1984
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
July 10, 1972 - March 12, 1984
MONY SECURITIES CORPORATION
Primary Firm SEC Registration
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 6/29/1972
Registered Representative ExaminationCurrent Firm
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PLANMEMBER FINANCIAL CORPORATION | OWNER | |
| BOWMAN, BYRON FRANCIS | CHIEF LEGAL OFFICER & SECRETARY | 2673117 |
| HALEY, SEAN PATRICK | CHIEF COMPLIANCE OFFICER | 2837579 |
| HANSON, STEVEN R | CHIEF FINANCIAL OFFICER / FINOPS | 4854600 |
| JANEWAY, TERRALL JOSEPH | EVP/CHIEF OPERATING OFFICER | 2947154 |
| ZIEHL, JON MICHAEL | PRESIDENT | 707642 |
Regulatory assets under management
| Total Number of Accounts | 68,978 |
| AUM (Assets Under Management) | $ 9,035,509,268 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/21/2022 | ||
| 12/21/2022 |
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.
