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RR

Richard A. Rosen

PINNACLE ASSOCIATES, LTD.
New York, NY 10017
Some features on this profile are disabled
CRD#: 1295265
RR

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

BD
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

BD
CRD#: 35350
NEW YORK, NY
Past

February 12, 2001 - October 5, 2004

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY
Past

January 1, 1998 - February 17, 1999

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

January 6, 1992 - January 28, 1998

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

September 24, 1984 - July 18, 1985

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
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".
PA
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)

Exams

State Security Law Exam
RR
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
RR
SIE
Date: 2/11/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/26/2013
General Securities Representative Examination

Current Firm

PA
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)
PREMIUM
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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
70

SEC notice filing (35 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts6,429
AUM (Assets Under Management)$ 9,866,562,515

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

PINNACLE ASSOCIATES, LTD.

CRD#: 110631New York, NY 10017

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