Brad S. Rosenblat
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.
Brad Stephen Rosenblat was a registered financial professional .
Brad is a previously registered financial professional and started their career in finance in 2011. Brad had worked at 2 firms and has passed the Series 63 and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2012 - July 10, 2013
INTREPID INVESTMENT BANKERS LLC
August 22, 2011 - May 29, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
INTREPID INVESTMENT BANKERS LLC
CRD#: 154801 / SEC#: , 8-68674
Contact information
FINRA licenses (9 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUFG AMERICAS HOLDINGS CORPORATION | DIRECT OWNER | |
| BAGDASARIAN, EDUARD | CEO | 1307175 |
| FREEDMAN, JAMES BARRY | MANAGING DIRECTOR, CHAIRMAN | 1616904 |
| MILKMAN, PAUL DAVID | CHIEF INFORMATION SECURITY OFFICER | 1564708 |
| MORIN, STACEY LYNN | CHIEF FINANCIAL OFFICER | 5649422 |
| ROSENBERG, W MICHAEL | SENIOR MANAGING DIRECTOR | 1617639 |
| SCANDURA, STEPHEN THOMAS | CHIEF COMPLIANCE OFFICER | 4539229 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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