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MT

Monique Tremblay

ROTHSCHILD & CO REDBURN
New York, NY 10017
Some features on this profile are disabled
CRD#: 4377064
MT

Professional summary

Monique Tremblay is a registered financial professional currently at ROTHSCHILD & CO REDBURN located in New York, New York.

Monique is registered as a RR (Registered Representative) and started their career in finance in 2002. Monique has worked at 4 firms and has passed the Series 16 exam.

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) - BD

Click below to view Monique Tremblay'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

March 11, 2024 - Present

ROTHSCHILD & CO REDBURN

Office #1: 461 Fifth Avenue 15th Floor, New York, NY 10017
BD
CRD#: 140564
New York, NY
Past

May 19, 2004 - November 17, 2023

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

November 26, 2002 - March 24, 2004

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

February 11, 2002 - October 4, 2002

COMMERZ MARKETS LLC

BD
CRD#: 41957
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

General Industry/Product Exam
RR
Series 16
Date: 11/13/2001
NYSE Supervisory Analyst Examination
SRO Registrations
RR
FINRA

Current Firm

R&
ROTHSCHILD & CO REDBURN
REDBURN (USA) LLC | ROTHSCHILD & CO REDBURN | ROTHSCHILD & CO GLOBAL MARKETS SOLUTIONS LLC | REDBURN PARTNERS (USA) LP | REDBURN ATLANTIC

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

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
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
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ROTHSCHILD & CO REDBURNPARENT COMPANY325601
BRISTOWE, WILLIAM ROBERTHEAD OF US ACCESS AND REDBURN ATLANTIC US VICE CHAIRMAN1798670
CONNELLY, ARTHUR MARK JR.US HEAD OF ECM2056930
GORDON, BENJAMIN JAKECHIEF COMPLIANCE OFFICER6677911
JOSEPH, ROWAN MURRAYHEAD OF NORTH AMERICA5517410
KRZAK, ALEXANDER JACOBPRINCIPAL OPERATIONS OFFICER6349160
MCELLIGOTT, CASEY MEREDITHHEAD OF US EXECUTION4440554
SCHACKERT, CHRISTA MARYFINOP, PRINCIPAL FINANCIAL OFFICER4219093

Disclosures

Regulatory Event1

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

ROTHSCHILD & CO REDBURN

CRD#: 140564New York, NY 10017

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