Gideon A. Rosenbaum
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.
Gideon A Rosenbaum was a registered financial professional .
Gideon is a previously registered financial professional and started their career in finance in 2010. Gideon had worked at 4 firms and has passed the Series 66, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2023 - October 24, 2025
B. RILEY SECURITIES, INC.
November 30, 2017 - March 6, 2023
B. RILEY SECURITIES, INC.
April 11, 2016 - November 30, 2017
B. RILEY & CO., LLC
February 17, 2012 - June 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 17, 2012 - June 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 29, 2010 - February 13, 2012
BARCLAYS CAPITAL INC.
April 5, 2010 - February 13, 2012
BARCLAYS CAPITAL 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
Current Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| 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.
