Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Alan Rosen is a financial advisor with Pinnacle Associates, Ltd., a registered investment advisor with approximately $8.1 billion in assets under management. Richard has been in the industry since 1984 and has extensive experience providing financial planning and portfolio management services to individuals, businesses and institutional clients. Richard is a Chartered Financial Analyst (CFA) and has passed the Series 7, Series 63, and Series 65 exams. Richard was previously affiliated with TD Private Client Wealth LLC, NYLIFE Distributors LLC, NYLIFE Securities Inc., Prudential Investment Management Services LLC, Prudential Securities Incorporated and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
NY
08/31/2021 - Present
Pinnacle Associates, Ltd. (NEW YORK NY)
NJ
12/26/2013 - 02/11/2016
TD PRIVATE CLIENT WEALTH LLC (BASKING RIDGE NJ)
NY
10/19/2004 - 07/07/2009
NYLIFE DISTRIBUTORS LLC (NEW YORK NY)
NY
02/12/2001 - 10/05/2004
NYLIFE SECURITIES INC. (NEW YORK NY)
NJ
01/01/1998 - 02/17/1999
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)
NY
01/06/1992 - 01/28/1998
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
09/24/1984 - 07/18/1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BC
Issued 01/15/2014
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 12/22/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/11/2016
SIE - Securities Industry Essentials Examination
BC
Issued 12/26/2013
Series 7 - General Securities Representative Examination
Active
Inactive
Not sure Richard Rosen is the right advisor for you? Invested Better is here to help.
