AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JB

Julian T. Bloom

CAUSEWAY SECURITIES LLC
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 6215843
JB

Professional summary

Julian T Bloom is a registered financial professional currently at CAUSEWAY SECURITIES LLC located in New York, New York.

Julian is registered as a RR (Registered Representative) and started their career in finance in 2014. Julian has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

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.
Le Mari. It is not investment-related. It is located at 259 Newbury St., Boston, MA 02116. It is a Restaurant. I am a silent investor. No involvement in day to day management. Began June 2024. Zero hours devoted and none during trade hours. No duties, just a silent investor.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Julian T Bloom'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®
None

Experience

Current

December 18, 2024 - Present

CAUSEWAY SECURITIES LLC

Office #1: 845 3rd Ave, Floor 6, New York, NY 10022
BD
CRD#: 315829
NEW YORK, NY
Past

September 9, 2024 - December 6, 2024

ANCORATO

RIA
CRD#: 322695
Boston, MA
Past

December 26, 2019 - March 8, 2024

FIRST TRUST ADVISORS LP

RIA
CRD#: 107027
BOSTON, MA
Past

December 5, 2019 - March 8, 2024

FIRST TRUST PORTFOLIOS L.P.

BD
CRD#: 28519
WHEATON, IL
Past

February 28, 2018 - January 15, 2020

LBMZ SECURITIES, INC.

BD
CRD#: 7874
CHICAGO, IL
Past

February 27, 2018 - January 15, 2020

ZACKS INVESTMENT MANAGEMENT, INC.

RIA
CRD#: 110897
Boston, MA
Past

January 30, 2017 - January 2, 2018

ALLSPRING FUNDS MANAGEMENT, LLC

RIA
CRD#: 110841
Boston, MA
Past

November 19, 2014 - December 31, 2014

ALLSPRING FUNDS MANAGEMENT, LLC

RIA
CRD#: 110841
BOSTON, MA
Past

November 10, 2014 - January 2, 2018

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
BOSTON, MA
Past

June 27, 2014 - November 7, 2014

MORGAN STANLEY

RIA
CRD#: 149777
NEW YORK, NY
Past

March 17, 2014 - November 7, 2014

MORGAN STANLEY

BD
CRD#: 149777
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
(1/14/2025)
RR
Arizona
(2/13/2025)
RR
California
(1/3/2025)
RR
Colorado
(1/28/2025)
RR
Connecticut
(1/17/2025)
RR
District of Columbia
(1/17/2025)
RR
Florida
(2/4/2025)
RR
Georgia
(2/13/2025)
RR
Idaho
(1/6/2025)
RR
Illinois
(2/25/2025)
RR
Iowa
(1/3/2025)
RR
Kentucky
(2/11/2025)
RR
Maine
(1/21/2025)
RR
Maryland
(4/16/2025)
RR
Massachusetts
(1/14/2025)
RR
Michigan
(3/5/2025)
RR
Minnesota
(1/15/2025)
RR
Mississippi
(2/28/2025)
RR
Missouri
(2/10/2025)
RR
Nebraska
(1/31/2025)
RR
Nevada
(1/14/2025)
RR
New Hampshire
(2/5/2025)
RR
New Jersey
(1/17/2025)
RR
New Mexico
(2/17/2025)
RR
New York
(1/16/2025)
RR
North Carolina
(1/21/2025)
RR
North Dakota
(2/21/2025)
RR
Ohio
(1/30/2025)
RR
Oklahoma
(2/26/2025)
RR
Pennsylvania
(2/14/2025)
RR
Rhode Island
(1/27/2025)
RR
South Carolina
(1/21/2025)
RR
South Dakota
(1/14/2025)
RR
Tennessee
(1/15/2025)
RR
Texas
(1/21/2025)
RR
Utah
(1/17/2025)
RR
Vermont
(1/14/2025)
RR
Virginia
(1/16/2025)
RR
West Virginia
(1/16/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/27/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/17/2014
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CAUSEWAY SECURITIES LLC
CAUSEWAY SECURITIES LLC

CRD#: 315829 / SEC#: , 8-70789

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
845 3rd Ave, Floor 6, New York, NY 10022
Mailing Address
845 3rd Ave, Floor 6, New York, NY 10022
Phone number
(224) 370-3769
Established
Florida since 06/25/2021
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CAUSEWAY SECURITIES LIMITEDMEMBER
BRUDIE, DONALD THOMAS JRCEO2443236
GRAY, BENJAMIN NMNCCO1946982
ROTHENBERG, SHARI PCFO6590875

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.

Company Information

CAUSEWAY SECURITIES LLC

CRD#: 315829New York, NY 10022

TRUST BUT VERIFY

Monitor Julian Bloom

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics