Harry T. Rosenblum

CREWS & ASSOCIATES

Little Rock, AR 72212

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CRD#: 500132

Professional summary

Harry Truman Rosenblum is a registered financial professional currently at CREWS & ASSOCIATES, INC. located in Little Rock, Arkansas.

Harry is registered as a RR (Registered Representative) and started their career in finance in 1976. Harry has worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 40 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 Harry Truman Rosenblum'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

July 16, 2015 - Present

CREWS & ASSOCIATES, INC.

Office #1: 4007 N Rodney Parham Rd, Little Rock, AR 72212

RIA

CRD#: 8052

Little Rock, AR

Past

March 10, 2014 - July 15, 2015

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

LITTLE ROCK, AR

Past

May 1, 2008 - March 12, 2014

CREWS & ASSOCIATES, INC.

CRD#: 8052

LITTLE ROCK, AR

Past

August 14, 2000 - April 22, 2008

BOK FINANCIAL SECURITIES, INC.

CRD#: 17530

LITTLE ROCK, AR

Past

January 14, 1995 - August 14, 2000

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

July 31, 1993 - January 23, 1995

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 19, 1990 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

September 16, 1988 - February 8, 1990

ALLISON, ROSENBLUM & HANNAHS, INC.

CRD#: 22375

Past

October 29, 1986 - August 23, 1988

FIRSTMONEY SECURITIES CORPORATION

CRD#: 18220

Past

March 26, 1985 - July 9, 1986

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

May 18, 1982 - April 2, 1985

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

April 17, 1980 - March 13, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

August 7, 1978 - March 22, 1980

UMIC, INC.

CRD#: 5974

Past

June 18, 1976 - August 31, 1978

BRITTENUM & ASSOCIATES, INC.

CRD#: 7179

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CREWS & ASSOCIATES, INC.

CREWS | FIRST SECURITY CREWS | CREWS & ASSOCIATES, INC.

CRD#: 8052 / SEC#: 801-128827, 8-24075

RIA

Registered Investment Advisory firm - SEC (10/10/2023 Approved)

Arkansas

Registered Investment Advisory firm - SEC (8/24/2006 Approved)

California

Registered Investment Advisory firm - SEC (3/24/2021 Approved)

Louisiana

Registered Investment Advisory firm - SEC (2/14/2019 Approved)

Oklahoma

Registered Investment Advisory firm - SEC (4/13/2022 Terminated)

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

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Arkansas
(7/24/2015)

California
(7/17/2015)

Connecticut
(7/10/2018)

Florida
(7/27/2015)

Iowa
(7/24/2015)

Minnesota
(4/2/2025)

Mississippi
(8/3/2015)

Missouri
(8/12/2015)

New Jersey
(7/28/2015)

New York
(8/6/2015)

North Carolina
(7/22/2015)

Ohio
(7/17/2015)

Pennsylvania
(7/17/2015)

Tennessee
(7/31/2015)

Texas
(7/23/2015)

Wisconsin
(7/20/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/19/1987

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: 12/15/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 40

Date: 10/21/1977

Registered Principal Examination

SRO Registrations

FINRA

Current Firm

CREWS & ASSOCIATES, INC.

CREWS | FIRST SECURITY CREWS | CREWS & ASSOCIATES, INC.

CRD#: 8052 / SEC#: 801-128827, 8-24075

RIA

Registered Investment Advisory firm - SEC (10/10/2023 Approved)

Arkansas

Registered Investment Advisory firm - SEC (8/24/2006 Approved)

California

Registered Investment Advisory firm - SEC (3/24/2021 Approved)

Louisiana

Registered Investment Advisory firm - SEC (2/14/2019 Approved)

Oklahoma

Registered Investment Advisory firm - SEC (4/13/2022 Terminated)

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

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Contact information

Main Address

521 President Clinton Avenue Suite 800, Little Rock, AR 72201

Mailing Address

P.o. Box 1696, Little Rock, AR 72203-1696

Phone number

(501) 907-2000

Established

Arkansas since 07/06/1979

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

130

SEC notice filing (18 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CREWS & ASSOCIATES, INC. 2025 (5/7/2025)

Direct owners and executive officers

Name	Position	CRD#
CREWS CORE HOLDING COMPANY	OWNER
BEARDSLEY, SCOTT ARTHUR	SECRETARY OF THE BOARD	2349866
BUMPERS, JOSEPH PARROTT	CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER	4336359
CLAY, DENNIS CHARLES	CHIEF EXECUTIVE OFFICER, DIRECTOR, EXECUTIVE COMMITTEE	1233857
JONES, JAMES STEPHEN	PRESIDENT, DIRECTOR	502536
MEYER, DAMON CHRISTIAN	CHIEF COMPLIANCE OFFICER	4133916

Regulatory assets under management

Total Number of Accounts	336
AUM (Assets Under Management)	$ 149,386,233

Disclosures

Regulatory Event	15
Arbitration	1

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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Firm Stability Insights

Harry T. Rosenblum

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Harry Truman Rosenblum's CRS (Customer Relationship Summary).

Certified licenses

Experience

B. RILEY WEALTH MANAGEMENT

CREWS & ASSOCIATES, INC.

BOK FINANCIAL SECURITIES, INC.

MORGAN KEEGAN & COMPANY, LLC

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

ALLISON, ROSENBLUM & HANNAHS, INC.

FIRSTMONEY SECURITIES CORPORATION

PRUDENTIAL EQUITY GROUP, LLC

E. F. HUTTON & COMPANY INC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UMIC, INC.

BRITTENUM & ASSOCIATES, INC.

Primary Firm SEC Registration

CREWS & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/19/1987

SIE

Date: 10/1/2018

Series 7

Date: 12/15/1984

Series 40

Date: 10/21/1977

FINRA

Current Firm

CREWS & ASSOCIATES, INC.

Contact information

SEC notice filing (18 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CREWS & ASSOCIATES, INC.

TRUST BUT VERIFY

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