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Thomas J. Rossley
BELLE HAVEN INVESTMENTS, L.P.
Rye Brook, NY 10573-1301
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CRD#: 1228065
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Professional summary
Thomas J Rossley, who also goes by Thomas Joseph Rossley, Tom Rossley, is a registered financial advisor currently at BELLE HAVEN INVESTMENTS, L.P. located in Rye Brook, New York.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Thomas has worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas Joseph Rossley | Tom Rossley
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.
NAME OF OTHER BUSINESS: Common Sense 101, LLC; NON-INVESTMENT RELATED; ADDRESS: 310 S. Michigan Ave, Chicago, IL 60604; NATURE OF OTHER BUSINESS: LLC established to publish book; POSITION/ TITLE; managing member of LLC; START DATE: 8/2021; APPX. # OF HOURS PER MONTH DEVOTED TO OTHER BUSINESS: 10; 0 hours during securities trading hours; DUTIES: LLC established to publish book; only duties are working on getting book published. NAME OF OTHER BUSINESS: Anne Rossley, Realtor; INVESTMENT RELATED; ADDRESS: 310 S. Michigan Ave, Chicago, IL 60604; NATURE OF OTHER BUSINESS: real estate; POSITION/ TITLE; assistant; START DATE: 12/31/2021; APPX. # OF HOURS PER MONTH DEVOTED TO OTHER BUSINESS: 20 hours max per month;0 hours during securities trading hours; DUTIES: assist with administrative duties related to spouse's real estate business. activities will be limited to those that do not require a real estate license.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas J Rossley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas J Rossley's 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®
NoneExperience
Current
August 28, 2025 - Present
BELLE HAVEN INVESTMENTS, L.P.
Office #1: 800 Westchester Avenue Suite N607, Rye Brook, NY 10573-1301Office #2: 800 Westchester Avenue Suite N607, Rye Brook, NY 10573RIA
BD
CRD#: 29278
Rye Brook, NY
Current
June 30, 2023 - Present
BELLE HAVEN INVESTMENTS, L.P.
Office #1: 800 Westchester Avenue Suite N607, Rye Brook, NY 10573-1301Office #2: 800 Westchester Avenue Suite N607, Rye Brook, NY 10573RIA
BD
CRD#: 29278
Rye Brook, NY
Past
January 8, 2009 - May 1, 2023
HUNTINGTON SECURITIES, INC.
BD
CRD#: 2261
CHICAGO, IL
Past
September 22, 2008 - December 24, 2008
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
CHICAGO, IL
Past
June 5, 1986 - September 22, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
CHICAGO, IL
Past
February 24, 1984 - April 17, 1986
BMO CAPITAL MARKETS GKST INC.
BD
CRD#: 8352
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".
BH
BELLE HAVEN INVESTMENTS, L.P.
BELL HAVEN INVESTMENTS, L.P. | BELLE HAVEN INVESTMENTS, L.P. | BELLE HAVEN INVESTMENTS, INC. | BELLE HAVEN INVESTMENTS
CRD#: 29278 / SEC#: 801-62290, 8-44222
RIA
Registered Investment Advisory firm - SEC (1/26/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (2/16/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (2/16/2006 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/16/2006 Terminated)New York
Registered Investment Advisory firm - SEC (2/16/2006 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (2/16/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(6/30/2023)
IAR
Connecticut(8/28/2025)
RR
New York(7/15/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 6/30/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BH
BELLE HAVEN INVESTMENTS, L.P.
BELL HAVEN INVESTMENTS, L.P. | BELLE HAVEN INVESTMENTS, L.P. | BELLE HAVEN INVESTMENTS, INC. | BELLE HAVEN INVESTMENTS
CRD#: 29278 / SEC#: 801-62290, 8-44222
RIA
Registered Investment Advisory firm - SEC (1/26/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (2/16/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (2/16/2006 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/16/2006 Terminated)New York
Registered Investment Advisory firm - SEC (2/16/2006 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (2/16/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
800 Westchester Avenue Suite N607, Rye Brook, NY 10573-1301
Mailing Address
800 Westchester Avenue Suite N607, Rye Brook, NY 10573
Phone number
(914) 816-4633
Established
Connecticut since 03/13/2001
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
47
SEC notice filing (53 States and Territories)
FINRA licenses (34 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 24,433 |
| AUM (Assets Under Management) | $ 20,380,202,747 |
Disclosures
| Regulatory Event | 4 |
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.
