Edward J. Rosenblum
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.
Edward Jay Rosenblum, who also goes by Smiley Rosenblum, Edward Jay Smiley, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1978. Edward had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2002 - April 7, 2015
DORSEY & COMPANY, INC.
August 14, 2000 - July 2, 2002
UBS FINANCIAL SERVICES INC.
January 27, 1992 - August 14, 2000
J.C. BRADFORD & CO.
February 16, 1990 - January 27, 1992
LADD DINKINS & COMPANY
January 5, 1978 - February 16, 1990
LADD DINKINS & COMPANY
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
DORSEY & COMPANY, INC.
CRD#: 1668 / SEC#: 801-35768, 8-7541
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROSPERA FINANCIAL, LLC | OWNER | |
| THOMPSON, RAYMOND ANDREW | PRESIDENT / CEO / CCO | 737094 |
Disclosures
| Regulatory Event | 15 |
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.
