Robert S. Rosenfeld
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.
Robert Sydney Rosenfeld was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1981. Robert had worked at 10 firms and has passed the Series 55, Series 7, Series 62, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 1999 - June 28, 1999
HUDSON SECURITIES,INC.
August 29, 1996 - December 4, 1998
GRUNTAL & CO., L.L.C.
February 23, 1996 - August 5, 1996
JOSEPHTHAL & CO., INC.
December 9, 1988 - August 25, 1995
BLUESTONE CAPITAL CORP.
March 9, 1988 - December 6, 1988
PARAGON CAPITAL MARKETS, INC.
September 15, 1987 - March 14, 1988
COPELAND SECURITIES INCORPORATED
June 10, 1986 - September 11, 1987
M.S. ETHEREDGE & CO., INC.
July 25, 1985 - May 2, 1986
RAUSCHER PIERCE REFSNES, INC.
March 27, 1985 - May 10, 1985
D. H. BLAIR & CO., INC.
March 17, 1983 - March 29, 1985
SWARTWOOD, HESSE INC.
April 27, 1981 - March 24, 1983
M.S. ETHEREDGE & CO., 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
Exams
Series 55
Date: 5/19/1999
Limited Representative-Equity Trader ExamSeries 62
Date: 7/12/1993
Corporate Securities Limited Representative ExaminationSeries 1
Date: 1/9/1958
Registered Representative ExaminationCurrent Firm
HUDSON SECURITIES,INC.
CRD#: 10467 / SEC#: , 8-30639
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RODMAN RENSHAW CAPITAL GROUP, INC. | HOLDING COMPANY | |
| HECHLER, RANDY JAY | CCO, DIRECTOR OF COMPLIANCE | 2292597 |
Disclosures
| Regulatory Event | 26 |
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.
