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Lori Beth Wasserman

Rose & Co. Capital Advisors, LLC

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About Lori Beth Wasserman

Lori Beth Wasserman is a registered representative with Rose & Co. Capital Advisors, LLC. Lori has been in the securities industry since 2001. Lori holds the Series 63 and Series 7 registrations. Lori is currently registered in New York. Lori was previously employed at NEWOAK CAPITAL MARKETS LLC, TELLSON SECURITIES, BUCKLEY & YOUNG, LLC, NOMURA SECURITIES INTERNATIONAL, INC., J.P. MORGAN SECURITIES LLC, J.P. MORGAN SECURITIES INC., BEAR, STEARNS & CO. INC., LEHMAN BROTHERS INC., LEHMAN GOVERNMENT SECURITIES INC., and LEHMAN SPECIAL SECURITIES INC.

Firm Information

Lori Wasserman is currently registered with Rose & Co. Capital Advisors, LLC. Rose & Co. Capital Advisors, LLC is a Limited Liability Company formed on June 10, 2013 in New York. The firm is registered with the Securities and Exchange Commission and the state of New York.

Not reported

Assets Under Management

Not reported

Total Clients

4

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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Lori Wasserman’s Registration & Firm History

NY

03/09/2021 - Present

Rose & Co. Capital Advisors, LLC (NEW YORK NY)

NY

01/02/2020 - 03/30/2020

NEWOAK CAPITAL MARKETS LLC (NEW YORK NY)

NY

11/21/2017 - 10/31/2019

TELLSON SECURITIES (New York NY)

NY

12/18/2014 - 02/27/2015

BUCKLEY & YOUNG, LLC (RYE NY)

NY

10/18/2010 - 11/08/2012

NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)

NY

10/01/2008 - 10/14/2010

J.P. MORGAN SECURITIES LLC (NEW YORK NY)

NY

06/02/2008 - 10/01/2008

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

NY

07/01/2003 - 06/02/2008

BEAR, STEARNS & CO. INC. (NEW YORK NY)

NY

05/17/1998 - 06/03/2003

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

11/05/1992 - 06/19/1996

LEHMAN BROTHERS INC. (NEW YORK NY)

NA

11/05/1992 - 10/23/1995

LEHMAN GOVERNMENT SECURITIES INC.

NA

11/05/1992 - 07/18/1994

LEHMAN SPECIAL SECURITIES INC.

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Licenses & Designations

BC

Issued 01/25/2018

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/11/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Lori Beth Wasserman.
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