Steven H. Rosenblum
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.
Steven Howard Rosenblum was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2009. Steven had worked at 4 firms and has passed the Series 63, Series 79TO, SIE 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
August 6, 2021 - November 28, 2023
PHOENIX IB
October 26, 2017 - August 11, 2021
OBERON SECURITIES, LLC
September 14, 2010 - September 21, 2016
STORMHARBOUR SECURITIES LP
September 2, 2009 - June 15, 2010
GLOBAL OAK CAPITAL MARKETS LLC
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
PHOENIX IB
CRD#: 132710 / SEC#: , 8-66628
Contact information
FINRA licenses (5 States and Territories)
Documents
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.
