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Douglas John Rossi

Boston Partners Securities, LLC

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About Douglas John Rossi

Douglas Rossi is a registered representative with Boston Partners Securities, LLC, a broker-dealer registered with the Securities and Exchange Commission. Douglas Rossi is licensed in Massachusetts and has over 3 years of experience in the securities industry. He has passed the Series 7TO, SIE and the Series 66 examinations and is currently active in Massachusetts. Douglas Rossi's most recent previous employer was Merrill Lynch, Pierce, Fenner & Smith Incorporated.

Firm Information

Douglas Rossi is currently registered with Boston Partners Securities, LLC. Boston Partners Securities, LLC is a Limited Liability Company formed in May 2004. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They have been involved in seven Regulatory Events and one Arbitration case.

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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Douglas Rossi’s Registration & Firm History

MA

10/20/2023 - Present

Boston Partners Securities, LLC (BOSTON MA)

NY

01/22/2020 - 10/04/2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 03/02/2020

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/22/2020

Series 7TO - General Securities Representative Examination

BC

Issued 12/18/2019

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Douglas John Rossi.
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