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Charles Patrick Roney

Rosenblatt Securities Inc.

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About Charles Patrick Roney

Charles Roney is a financial professional with over 28 years of experience in the securities industry. Charles is currently registered with Rosenblatt Securities Inc. as a General Securities Principal. Previously, Charles was registered with Thomas Weisel Partners LLC, P.R. Burke & Co., Inc., and Auerbach Grayson & Company Incorporated. Charles is licensed in Connecticut, Massachusetts, and New York and holds licenses for Series 7, Series 14, Series 24, Series 27, Series 63, Series 87, Series 99TO and SIE.

Firm Information

Charles Roney is currently registered with Rosenblatt Securities Inc.. Rosenblatt Securities Inc. is a corporation formed on August 29, 1979, with an approved status. They are registered with the Securities and Exchange Commission and in 17 states, including California, Colorado, Connecticut, Florida, Illinois, Maryland, Massachusetts, Minnesota, Missouri, New Jersey, New York, Ohio, Pennsylvania, South Carolina, Texas, Virginia, and Washington. They have reported 6 regulatory events.

Not reported

Assets Under Management

Not reported

Total Clients

32

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Charles Roney’s Registration & Firm History

NY

10/03/2005 - Present

Rosenblatt Securities Inc. (NEW YORK NY)

CA

05/04/2004 - 10/04/2005

THOMAS WEISEL PARTNERS LLC (SAN FRANCISCO CA)

NY

01/23/1994 - 07/29/2002

P.R. BURKE & CO., INC. (NEW YORK NY)

NY

02/05/1993 - 02/11/1997

AUERBACH GRAYSON & COMPANY INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 05/14/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/04/2004

Series 24 - General Securities Principal Examination

BC

Issued 03/27/2002

Series 14 - Compliance Officer Examination

BC

Issued 04/30/1991

Series 27 - Financial and Operations Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/19/2014

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 08/19/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Charles Patrick Roney.
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