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VU

Vidhi Vinodkumar Upadhyay

ROSENBLATT SECURITIES
New York, NY 10005
Some features on this profile are disabled
CRD#: 7830004
VU

Professional summary

Vidhi Vinodkumar Upadhyay is a registered financial professional currently at ROSENBLATT SECURITIES INC. located in New York, New York.

Vidhi Vinodkumar is registered as a RR (Registered Representative) and started their career in finance in 2024. Vidhi Vinodkumar has worked at 1 firm and has passed the Series 63, Series 99TO, Series 7TO and SIE 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Vidhi Vinodkumar Upadhyay's CRS (Customer Relationship Summary).
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

March 26, 2024 - Present

ROSENBLATT SECURITIES INC.

Office #1: 40 Wall St. 59th Floor, New York, NY 10005
BD
CRD#: 18377
New York, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/1/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 10/24/2024
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/25/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/16/2023
Securities Industry Essentials Examination
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

RS
ROSENBLATT SECURITIES INC.
RICHARD A. ROSENBLATT & COMPANY, INC. | ROSENBLATT SECURITIES INC.

CRD#: 18377 / SEC#: , 8-24255

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

Main Address
40 Wall Street 59th Floor, New York, NY 10005
Mailing Address
40 Wall Street 59th Floor, New York, NY 10005
Phone number
(212) 607-3100
Established
New York since 08/29/1979
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (15 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GAWRONSKI, JOSEPH CHARLES JRPRESIDENT, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER, DIRECTOR2946954
ROSENBLATT, RICHARD ALLANCHAIRMAN RETIRED1557345
FRAIN, JOURDAN BLAKECOO5745300
RONEY, CHARLES PATRICKCHIEF COMPLIANCE OFFICER1978773

Disclosures

Regulatory Event6

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

ROSENBLATT SECURITIES INC.

CRD#: 18377New York, NY 10005

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