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RR

Richard J. Rosenstock

EARLYBIRDCAPITAL
Melville, NY 11747
Some features on this profile are disabled
CRD#: 828032
RR

Professional summary

Richard John Rosenstock is a registered financial professional currently at EARLYBIRDCAPITAL, INC. located in Melville, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1976. Richard has worked at 8 firms and has passed the Series 99TO, SIE, Series 7, Series 27, Series 4, F04 and Series 40 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 Richard John Rosenstock'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

July 31, 2024 - Present

EARLYBIRDCAPITAL, INC.

Office #1: One Huntington Quadrangle Suite 1c15, Melville, NY 11747
BD
CRD#: 28629
Melville, NY
Past

November 22, 2002 - July 26, 2024

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
MIAMI, FL
Past

July 29, 1986 - January 8, 2004

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY
Past

March 8, 1983 - July 21, 1986

F.N. WOLF & CO., INC.

BD
CRD#: 13051
Past

January 3, 1980 - March 2, 1983

BAIRD, PATRICK & CO., INC.

BD
CRD#: 1149
Past

December 29, 1977 - February 1, 1988

O. H. ASHLEY & CO., INC.

BD
CRD#: 7173
Past

January 6, 1977 - November 29, 1982

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

September 22, 1976 - January 6, 1977

DREXEL BURNHAM & CO. INCORPORATED

BD
CRD#: 7013

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
California
(8/8/2024)
RR
Colorado
(8/8/2024)
RR
Connecticut
(8/5/2024)
RR
District of Columbia
(8/13/2024)
RR
Florida
(8/22/2024)
RR
Michigan
(8/15/2024)
RR
New Jersey
(8/7/2024)
RR
New York
(8/7/2024)
RR
Ohio
(7/31/2024)
RR
Pennsylvania
(8/6/2024)
RR
Wisconsin
(8/6/2024)

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/18/1976
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 1/2/2023
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/5/1979
Registered Options Principal Examination
Principal/Supervisory Exam
RR
F04
Date: 10/19/1978
Financial Principal Examination
Principal/Supervisory Exam
RR
Series 40
Date: 1/9/1978
Registered Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

EI
EARLYBIRDCAPITAL, INC.
CORNELL SECURITIES CONSULTANTS, INC. | SOUTHEAST RESEARCH PARTNERS, INC. | EARLYBIRDCAPITAL.COM INC. | EARLYBIRDCAPITAL, INC.

CRD#: 28629 / SEC#: , 8-43828

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
One Huntington Quadrangle, Suite 1c15, Melville, NY 11747
Mailing Address
1 Huntington Quadrangle 1c15, Melville, NY 11747
Phone number
+1 (631) 770-0600
Established
Delaware since 05/09/1991
Firm type
Corporation
Fiscal year end
January
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

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
EBC HOLDINGS INC.HOLDING COMPANY
KAUFMANN, AMY ELIZABETHEXECUTIVE VICE PRESIDENT/CHIEF COMPLIANCE OFFICER2776989
LEVINE, STEVEN ARTHURPRESIDENT/DIRECTOR2714473
NUSSBAUM, DAVID MARTINCHAIRMAN/DIRECTOR1631483
PENDERGAST, MICHELLE MARIEFINOP/CFO5441721

Disclosures

Regulatory Event3
Arbitration1

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

EARLYBIRDCAPITAL, INC.

CRD#: 28629Melville, NY 11747

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