Adam M. Levy

ROTHSCHILD & CO REDBURN

New York, NY 10017

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CRD#: 4058486

Professional summary

Adam Marc Levy is a registered financial professional currently at ROTHSCHILD & CO REDBURN located in New York, New York.

Adam is registered as a RR (Registered Representative) and started their career in finance in 2001. Adam has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Adam Marc Levy's 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

July 21, 2025 - Present

ROTHSCHILD & CO REDBURN

Office #1: 461 Fifth Avenue 15th Floor, New York, NY 10017

CRD#: 140564

New York, NY

Past

June 21, 2017 - May 12, 2023

OTR GLOBAL TRADING LLC

CRD#: 138116

PURCHASE, NY

Past

April 17, 2013 - March 3, 2017

CLSA AMERICAS, LLC

CRD#: 165533

NEW YORK, NY

Past

May 27, 2010 - June 6, 2013

CREDIT AGRICOLE SECURITIES (USA) INC.

CRD#: 190

NEW YORK, NY

Past

January 22, 2008 - May 14, 2010

THINKEQUITY LLC

CRD#: 44274

NEW YORK, NY

Past

February 15, 2001 - November 12, 2007

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(8/11/2025)

Colorado
(8/18/2025)

Connecticut
(8/11/2025)

Florida
(7/21/2025)

Illinois
(7/21/2025)

Massachusetts
(8/11/2025)

Minnesota
(7/21/2025)

New Jersey
(7/21/2025)

New York
(8/17/2025)

Pennsylvania
(8/11/2025)

Texas
(7/21/2025)

Exams

State Security Law Exam

Series 63

Date: 8/7/2025

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/14/2001

General Securities Representative Examination

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

Current Firm

ROTHSCHILD & CO REDBURN

REDBURN (USA) LLC | ROTHSCHILD & CO REDBURN | REDBURN PARTNERS (USA) LP | REDBURN ATLANTIC

CRD#: 140564 / SEC#: , 8-67320

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

461 Fifth Avenue 15th Floor, New York, NY 10017

Mailing Address

461 Fifth Avenue 15th Floor, New York, NY 10017

Phone number

(212) 803-7300

Established

Delaware since 04/01/2014

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (35 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
REDBURN (EUROPE) LIMITED	PARENT COMPANY
BRISTOWE, WILLIAM ROBERT	HEAD OF US ACCESS AND REDBURN ATLANTIC US VICE CHAIRMAN	1798670
CONNELLY, ARTHUR MARK JR.	US HEAD OF ECM	2056930
GORDON, BENJAMIN JAKE	CHIEF COMPLIANCE OFFICER	6677911
JOSEPH, ROWAN MURRAY	HEAD OF NORTH AMERICA	5517410
KRZAK, ALEXANDER JACOB	PRINCIPAL OPERATIONS OFFICER	6349160
MCELLIGOTT, CASEY MEREDITH	HEAD OF US EXECUTION	4440554
SCHACKERT, CHRISTA MARY	FINOP, PRINCIPAL FINANCIAL OFFICER	4219093

Disclosures

Regulatory Event

Red Flags

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Firm Stability Insights

Adam M. Levy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Adam Marc Levy's CRS (Customer Relationship Summary).

Certified licenses

Experience

OTR GLOBAL TRADING LLC

CLSA AMERICAS, LLC

CREDIT AGRICOLE SECURITIES (USA) INC.

THINKEQUITY LLC

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/7/2025

SIE

Date: 10/1/2018

Series 7

Date: 2/14/2001

Cboe EDGA Exchange, Inc.

FINRA

Investors' Exchange LLC

Current Firm

ROTHSCHILD & CO REDBURN

Contact information

FINRA licenses (35 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ROTHSCHILD & CO REDBURN

TRUST BUT VERIFY

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