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Richard John Rosenstock

Earlybirdcapital, Inc.

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About Richard John Rosenstock

Richard Rosenstock is a financial professional with over 40 years of experience in the industry. Richard is currently registered with Earlybirdcapital, Inc. Richard has a wide range of experience in the financial services industry, including working for firms such as Ladenburg Thalmann & Co. Inc., Ladenburg Capital Management Inc., O. H. Ashley & Co., Inc., F.N. Wolf & Co., Inc., Baird, Patrick & Co., Inc., and Drexel Burnham Lambert Incorporated. Richard has passed several industry exams including the Series 7, Series 4, Series 27, Series 40, SIE, and Series 99TO. Richard is currently licensed in 11 states: California, Colorado, Connecticut, District of Columbia, Florida, Michigan, New Jersey, New York, Ohio, Pennsylvania and Wisconsin.

Firm Information

Richard Rosenstock is currently registered with Earlybirdcapital, Inc.. Earlybirdcapital, Inc. is a Corporation that was formed on May 9, 1991. The firm is registered in 52 states and has an approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

12

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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Richard Rosenstock’s Registration & Firm History

NY

07/31/2024 - Present

Earlybirdcapital, Inc. (MELVILLE NY)

FL

11/22/2002 - 07/26/2024

LADENBURG THALMANN & CO. INC. (MIAMI FL)

NY

07/29/1986 - 01/08/2004

LADENBURG CAPITAL MANAGEMENT INC. (BETHPAGE NY)

NA

12/29/1977 - 02/01/1988

O. H. ASHLEY & CO., INC.

NA

03/08/1983 - 07/21/1986

F.N. WOLF & CO., INC.

NA

01/03/1980 - 03/02/1983

BAIRD, PATRICK & CO., INC.

NA

01/06/1977 - 11/29/1982

DREXEL BURNHAM LAMBERT INCORPORATED

NA

09/22/1976 - 01/06/1977

DREXEL BURNHAM & CO. INCORPORATED

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Licenses & Designations

BC

Issued 01/02/2023

Series 27 - Financial and Operations Principal Examination

BC

Issued 02/05/1979

Series 4 - Registered Options Principal Examination

BC

Issued 10/19/1978

F04 - Financial Principal Examination

BC

Issued 01/09/1978

Series 40 - Registered Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/18/1976

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Richard John Rosenstock. Review regulatory record here.
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