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RR

Russell G. Rozea

BONDS.COM LLC
New York, NY 10005
Some features on this profile are disabled
CRD#: 735910
RR

Professional summary

Russell George Rozea, who also goes by Russ Rozea, is a registered financial professional currently at BONDS.COM LLC located in New York, New York.

Russell is registered as a RR (Registered Representative) and started their career in finance in 1981. Russell has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Russ Rozea

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Russell George Rozea'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

May 31, 2017 - Present

BONDS.COM LLC

Office #1: 32 Old Slip 34th Floor, New York, NY 10005
BD
CRD#: 43875
New York, NY
Past

January 17, 2003 - May 13, 2016

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

October 24, 1985 - January 17, 2003

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

August 17, 1981 - October 22, 1985

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691

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
New York
(5/31/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 1/31/2006
Uniform Securities Agent 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: 8/15/1981
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BL
BONDS.COM LLC
BONDS.COM LLC | PEDESTAL CAPITAL, INC. | PEDESTAL CAPITAL MARKETS, INC. | MTS MARKETS INTERNATIONAL, INC. | BONDS.COM, INC.

CRD#: 43875 / SEC#: , 8-50451

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
32 Old Slip 34th Floor, New York, NY 10005
Mailing Address
32 Old Slip 34th Floor, New York, NY 10005
Phone number
(212) 257-4062
Established
Delaware since 06/30/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TRADITION AMERICA HOLDINGS INC. (TAH")MEMBER
DOHERTY, JAMES HUGHPRINCIPAL OPERATIONS OFFICER4197747
FIORIO, ROBERT ANTHONYFINOP5525052
PACHECO, ROGER IICHIEF COMPLIANCE OFFICER1312459
PARKER, DAVID NELSONCEO4349441

Disclosures

Regulatory Event1

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

BONDS.COM LLC

CRD#: 43875New York, NY 10005

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