Richard A. Rosen

PINNACLE ASSOCIATES, LTD.

New York, NY 10017

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CRD#: 1295265

Professional summary

Richard Alan Rosen is a registered financial advisor currently at PINNACLE ASSOCIATES, LTD. located in New York, New York.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Richard has worked at 9 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Alan Rosen'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

July 24, 2018 - Present

PINNACLE ASSOCIATES, LTD.

Office #1: 286 Madison Avenue 20th Floor, New York, NY 10017

RIA

CRD#: 110631

New York, NY

Past

April 15, 2016 - January 7, 2019

SATUCKET CAPITAL MANAGEMENT, LLC

RIA

CRD#: 282848

SUMMIT, NJ

Past

December 26, 2013 - February 11, 2016

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484

BASKING RIDGE, NJ

Past

December 12, 2013 - February 11, 2016

TD PRIVATE CLIENT WEALTH LLC

RIA

CRD#: 164484

BASKING RIDGE, NJ

Past

September 19, 2012 - November 26, 2013

SATUCKET CAPITAL MANAGEMENT, LLC

RIA

CRD#: 165222

SUMMIT, NJ

Past

October 19, 2004 - July 7, 2009

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

NEW YORK, NY

Past

February 12, 2001 - October 5, 2004

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

January 1, 1998 - February 17, 1999

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

January 6, 1992 - January 28, 1998

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

September 24, 1984 - July 18, 1985

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

PINNACLE ASSOCIATES, LTD.

PINNACLE ASSOCIATES INVESTMENTS | PINNACLE ASSOCIATES, LTD. | PINNACLE ASSOCIATES, INC. (NY) | PINNACLE ASSOCIATES LTD. CORP. | PINNACLE ASSOCIATES LTD (NY)

CRD#: 110631 / SEC#: 801-20841

RIA

Registered Investment Advisory firm - (3/16/1984 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
(7/24/2018)

IAR

New York
(8/31/2021)

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: 1/15/2014

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/22/1992

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 2/11/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/26/2013

General Securities Representative Examination

Current Firm

PINNACLE ASSOCIATES, LTD.

PINNACLE ASSOCIATES INVESTMENTS | PINNACLE ASSOCIATES, LTD. | PINNACLE ASSOCIATES, INC. (NY) | PINNACLE ASSOCIATES LTD. CORP. | PINNACLE ASSOCIATES LTD (NY)

CRD#: 110631 / SEC#: 801-20841

RIA

Registered Investment Advisory firm - (3/16/1984 Approved)

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Contact information

Main Address

286 Madison Avenue 20th Floor, New York, NY 10017

Mailing Address

Phone number

(212) 652-3200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PINNACLE ASSOCIATES LTD. FORM ADV 2A (3/20/2025)

Regulatory assets under management

Total Number of Accounts	6,429
AUM (Assets Under Management)	$ 9,866,562,515

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
01/14/2025	Cover Page	Report
01/11/2024	Cover Page	Report

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.

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Richard A. Rosen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Alan Rosen's CRS (Customer Relationship Summary).

Certified licenses

Experience

SATUCKET CAPITAL MANAGEMENT, LLC

TD PRIVATE CLIENT WEALTH LLC

TD PRIVATE CLIENT WEALTH LLC

SATUCKET CAPITAL MANAGEMENT, LLC

NYLIFE DISTRIBUTORS LLC

NYLIFE SECURITIES LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

PRUDENTIAL EQUITY GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

PINNACLE ASSOCIATES, LTD.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/15/2014

Series 65

Date: 12/22/1992

SIE

Date: 2/11/2016

Series 7

Date: 12/26/2013

Current Firm

PINNACLE ASSOCIATES, LTD.

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PINNACLE ASSOCIATES, LTD.

TRUST BUT VERIFY

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