linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Adam Charles Roosevelt

Pershing LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Adam? Claim Your Profile

About Adam Charles Roosevelt

Adam Charles Roosevelt is a financial advisor with over 20 years of experience in the industry. Adam holds the Series 7, 6, 63 and 65 licenses, as well as the SIE exam. Adam is currently registered with Pershing LLC and Pershing Advisor Solutions LLC. Adam's previous experience includes roles at AXA Advisors, LLC and Planco Financial Services, LLC.

Firm Information

Adam Roosevelt is currently registered with Pershing LLC. Pershing LLC is a Limited Liability Company formed in January 2003. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They have one approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

692

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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Adam Roosevelt’s Registration & Firm History

NJ

03/08/2019 - Present

Pershing LLC (JERSEY CITY NJ)

NJ

10/01/2010 - 08/24/2018

PERSHING LLC (JERSEY CITY NJ)

NY

07/22/2008 - 09/15/2010

AXA ADVISORS, LLC (NEW YORK NY)

CT

11/06/2002 - 07/17/2008

PLANCO FINANCIAL SERVICES, LLC (HARTFORD CT)

Not sure if Adam Charles Roosevelt is right for you?

Licenses & Designations

IA

Issued 03/09/2009

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/12/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/31/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/04/2009

Series 7 - General Securities Representative Examination

BC

Issued 11/05/2002

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Adam Charles Roosevelt.
Not sure if Adam Charles Roosevelt is right for you?