Richard S. Rodman

IAM ADVISORY LLC

SCOTCH PLAINS, NJ

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CRD#: 1056041

Professional summary

Richard Sewall Rodman, who also goes by Rich Sewall Rodman, is a registered financial advisor currently at IAM ADVISORY LLC located in Scotch Plains, New Jersey.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Richard has worked at 5 firms and has passed the Series 63, SIE, Series 2, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rich Sewall Rodman

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) RSR CONSULTING, LLC POSITION: SOLE PROPRIETOR NATURE: LLC INVESTMENT RELATED: NO NUMBER OF HOURS: 1 INVESTMENT RELATED HOURS: 0 START DATE: 09/08/2014 ADDRESS: 103 TILLINGHAST TURN, SCOTCH PLAINS NJ 07076 DESCRIPTION: OVERSEE FINANCING OF EQUIPMENT OF J&J BROWN CARRIERS, LLC; J&J BROWN CARRIERS IS A LONG HAUL CARRIER OF AUTOMOBILES. 2) RICHARD RODMAN; NOT INVESTMENT RELATED;103 TILLINGHAST TURN, SCOTCH PLAINS, NJ 07076; SOLE PROPRIETORSHIP; FINANCIAL AUTHOR; 06/18/2023; 2 HOURS PER MONTH; AUTHOR OF PUBLISHED BOOKS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Sewall Rodman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 17, 2020 - Present

IAM ADVISORY LLC

RIA

CRD#: 305492

SCOTCH PLAINS, NJ

Past

November 29, 2006 - March 9, 2020

OSAIC WEALTH, INC.

CRD#: 23131

WEST LONG BRANCH, NJ

Past

December 14, 2005 - June 30, 2020

INVESTMENT ADVISORS ASSET MANAGEMENT, LLC

RIA

CRD#: 128716

WESTFIELD, NJ

Past

March 28, 2002 - December 14, 2005

SECOND OPINION FINANCIAL SERVICES,LLC

RIA

CRD#: 117193

WESTFIELD, NJ

Past

November 18, 1986 - December 4, 2006

INVESTMENT ADVISORS & CONSULTANTS, INC.

CRD#: 7996

WEST LONG BRANCH, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

IAM ADVISORY LLC

ANCHOR WEALTH STRATEGIES | TAX RELIEF INVESTMENTS | IAM ADVISORY LLC

CRD#: 305492 / SEC#: 801-117991

RIA

Registered Investment Advisory firm - (1/23/2020 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(3/17/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/19/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 2

Date: 5/3/1990

Non-Member General Securities Examination

General Industry/Product Exam

Series 7

Date: 11/15/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 3/27/1996

Investment Company Products/Variable Contracts Principal Examination

Current Firm

IAM ADVISORY LLC

ANCHOR WEALTH STRATEGIES | TAX RELIEF INVESTMENTS | IAM ADVISORY LLC

CRD#: 305492 / SEC#: 801-117991

RIA

Registered Investment Advisory firm - (1/23/2020 Approved)

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Contact information

Main Address

137 North Second Street, Easton, PA 18042

Mailing Address

Phone number

(610) 258-3269

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

IAM FORM ADV2A DISCLOSURE BROCHURE (1/21/2025)

Regulatory assets under management

Total Number of Accounts	2,727
AUM (Assets Under Management)	$ 635,778,479

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Richard S. Rodman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Sewall Rodman's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

INVESTMENT ADVISORS ASSET MANAGEMENT, LLC

SECOND OPINION FINANCIAL SERVICES,LLC

INVESTMENT ADVISORS & CONSULTANTS, INC.

Primary Firm SEC Registration

IAM ADVISORY LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/19/1996

SIE

Date: 10/1/2018

Series 2

Date: 5/3/1990

Series 7

Date: 11/15/1986

Series 26

Date: 3/27/1996

Current Firm

IAM ADVISORY LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

IAM ADVISORY LLC

TRUST BUT VERIFY

Contact information

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