RJ
Rowan M. Joseph
ROTHSCHILD & CO REDBURN
New York, NY 10017
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CRD#: 5517410
RJ
Professional summary
Rowan Murray Joseph is a registered financial professional currently at ROTHSCHILD & CO REDBURN located in New York, New York and ROTHSCHILD & CO US INC. located in New York, New York.
Rowan is registered as a RR (Registered Representative) and started their career in finance in 2008. Rowan has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Rowan Murray Joseph'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®
NoneExperience
Current
May 1, 2008 - Present
ROTHSCHILD & CO REDBURN
Office #1: 461 Fifth Avenue 15th Floor, New York, NY 10017Office #2: 1 International Place 14th Floor, Boston, MA 02110BD
CRD#: 140564
New York, NY
Current
November 3, 2023 - Present
ROTHSCHILD & CO US INC.
Office #1: 1251 Avenue Of The Americas, New York, NY 10020Office #2: 1251 Avenue Of The Americas, New York, NY 10020BD
CRD#: 2910
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(4/8/2019)
RR
Alaska(4/8/2019)
RR
Arizona(4/8/2019)
RR
California(4/8/2019)
RR
Colorado(4/8/2019)
RR
Connecticut(6/22/2010)
RR
Delaware(4/8/2019)
RR
District of Columbia(4/8/2019)
RR
Florida(4/8/2019)
RR
Georgia(4/8/2019)
RR
Illinois(4/8/2019)
RR
Iowa(4/8/2019)
RR
Kansas(4/8/2019)
RR
Kentucky(4/8/2019)
RR
Maryland(4/8/2019)
RR
Massachusetts(4/8/2019)
RR
Minnesota(5/24/2024)
RR
Missouri(4/8/2019)
RR
New Hampshire(6/28/2022)
RR
New Jersey(4/8/2019)
RR
New York(5/6/2009)
RR
North Carolina(8/7/2020)
RR
Ohio(4/9/2019)
RR
Oklahoma(2/14/2020)
RR
Oregon(3/27/2019)
RR
Pennsylvania(4/8/2019)
RR
Rhode Island(4/8/2019)
RR
South Dakota(4/8/2019)
RR
Tennessee(5/24/2024)
RR
Texas(11/28/2018)
RR
Utah(4/8/2019)
RR
Virginia(4/8/2019)
RR
Washington(4/8/2019)
RR
Wisconsin(11/28/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
Current Firm
R&
ROTHSCHILD & CO US INC.
NEW COURT SECURITIES CORPORATION | ROTHSCHILD INC. | ROTHSCHILD & CO US INC.
CRD#: 2910 / SEC#: , 8-13852
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1251 Avenue Of The Americas, New York, NY 10020
Mailing Address
1251 Avenue Of The Americas, New York, NY 10020
Phone number
(212) 403-3500
Established
Delaware since 07/20/1967
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROTHSCHILD & CO NORTH AMERICA INC. | DIRECT SHAREHOLDER | |
| CARROLL, JOHN MURRAY | DIRECTOR | 2605675 |
| FELDMAN, TRACY J | DIRECTOR | 2575503 |
| LONDON, FRANK STEVEN | CHIEF COMPLIANCE OFFICER | 5861920 |
| NEISSA, JAMES MANUEL | DIRECTOR | 2142240 |
| SCHACKERT, CHRISTA MARY | PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, FINANCIAL OPERATIONS PRINCIPAL & CONTROLLER | 4219093 |
| SPELLER, MICHAEL CHARLES | CHIEF EXECUTIVE OFFICER (FOR REGULATORY AND COMPLIANCE PURPOSES), PARTNER AND DIRECTOR | 3105214 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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