Pablo R. Rossetti

RIOUX & COMPANY

BROOKLYN, NY

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CRD#: 1351622

Professional summary

Pablo Rene Rossetti is a registered financial advisor currently at RIOUX & COMPANY, LLC located in Brooklyn, New York.

Pablo is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Pablo has worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 15 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.

I OWN TWO MULTIFAMILY BUILDINGS THAT I RENT OUT. I DEVOTE 8 HOURS PER MONTH TO THIS BUSINESS, ALTHOUGH NONE DURING TRADING HOURS. MY DUTIES ARE AS PROPERTY MANAGER.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Pablo Rene Rossetti'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®

None

Experience

Current

December 10, 2013 - Present

RIOUX & COMPANY, LLC

RIA

CRD#: 42043

BROOKLYN, NY

Past

August 23, 2007 - December 31, 2011

RIOUX & COMPANY, LLC

RIA

CRD#: 42043

BURLINGTON, CT

Past

April 18, 2006 - August 28, 2007

NEWALLIANCE INVESTMENTS, INC.

CRD#: 126880

NEW HAVEN, CT

Past

January 2, 2004 - January 23, 2006

RIOUX & COMPANY, LLC

CRD#: 42043

BRISTOL, CT

Past

August 23, 1991 - January 2, 2004

EMMETT A LARKIN COMPANY, INC.

CRD#: 6625

SAN FRANCISCO, CA

Past

March 7, 1988 - August 13, 1991

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

December 3, 1987 - March 8, 1988

MOSELEY SECURITIES CORPORATION

CRD#: 7908

Past

March 26, 1987 - November 20, 1987

PHILIPS, APPEL & WALDEN, INC.

CRD#: 659

Past

December 10, 1985 - April 20, 1987

LEHMAN BROTHERS INC.

CRD#: 7506

Past

March 19, 1985 - November 20, 1985

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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

Connecticut
(12/10/2013)

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

IAR

Series 65

Date: 8/22/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/26/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 4/10/1985

National Commodity Futures Examination

General Industry/Product Exam

Series 15

Date: 4/2/1985

Foreign Currency Options Examination

General Industry/Product Exam

Series 7

Date: 3/16/1985

General Securities Representative Examination

Current Firm

RIOUX & COMPANY, LLC

RIOUX & COMPANY, LLC | RIOUX, BROWN AND COMPANY, LLC | RIOUX & COMPANY, LLC/RIOX WEALTH MANAGEMENT

CRD#: 42043 / SEC#: 801-64933, 8-49670

RIA

Registered Investment Advisory firm - SEC (2/6/2013 Cancelled)

Connecticut

Registered Investment Advisory firm - SEC (1/2/2013 Approved)

Terminated by SEC on 01/21/2006

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Contact information

Main Address

Burlington, CT

Mailing Address

P.o. Box 958, Bristol, CT 06011-0958

Phone number

(860) 589-8754

Established

Connecticut since 04/25/1996

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
RIOUX, DAVID ARTHUR	MANAGING DIRECTOR CCO; CROP; SROP.	710871
RIOUX CAPITAL PARTNERS, LLC	OWNER

Regulatory assets under management

Total Number of Accounts	123
AUM (Assets Under Management)	$ 20,463,947

Disclosures

Regulatory Event

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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Pablo R. Rossetti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Pablo Rene Rossetti's CRS (Customer Relationship Summary).

Certified licenses

Experience

RIOUX & COMPANY, LLC

NEWALLIANCE INVESTMENTS, INC.

RIOUX & COMPANY, LLC

EMMETT A LARKIN COMPANY, INC.

GRUNTAL & CO., L.L.C.

MOSELEY SECURITIES CORPORATION

PHILIPS, APPEL & WALDEN, INC.

LEHMAN BROTHERS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 8/22/2007

Series 63

Date: 3/26/1985

Series 3

Date: 4/10/1985

Series 15

Date: 4/2/1985

Series 7

Date: 3/16/1985

Current Firm

RIOUX & COMPANY, LLC

Contact information

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

RIOUX & COMPANY, LLC

TRUST BUT VERIFY

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