RR
Richard A. Rosenbusch
CETERA INVESTMENT ADVISERS LLC
AMITYVILLE, NY 11701
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CRD#: 1856160
RR
Professional summary
Richard Alan Rosenbusch is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Amityville, New York and CETERA FINANCIAL SPECIALISTS LLC located in Amityville, New York.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Richard has worked at 4 firms and has passed the Series 63, SIE and Series 6 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.
1) NAME:RICHARD A ROSENBUSCH, CPA PL INV. RELATED: NO; SAME AS REGISTERED LOCATION BUSINESS:ACCOUNTING & TAX SERVICES START:1/1985 APX # OF HOURS PER WEEK:VARIES APX # OF TRADING HOURS PER WEEK:VARIES POS:PRESIDENT ; DUTIES:BUSINESS MANAGEMENT 2) NAME:N/A INV. RELATED: NO; ADDRESS:VARIES NATURE OF BUSINESS:RENTAL PROPERTIES START DATE:VARIES APX # OF HOURS PER WEEK:VARIES APX # OF TRADING HOURS PER WEEK:VARIES POS:CO-OWNER ; DUTIES:MANAGEMENT 3) NAME:LAM-ROSE REALTY LLC INV. RELATED: NO ; SAME AS REGISTERED LOCATION NATURE OF BUSINESS:REAL ESTATE HOLDING START DATE:10/1998 APX # OF HOURS PER WEEK:VARIES APX # OF TRADING HOURS PER WEEK:VARIES POSITION/TITLE/RELATIONSHIP:PRESIDENT ; DUTIES:BUSINESS MANAGEMENT 4) NAME:NARRASKETUCK CREEK LLC INV. RELATED: NO ;SAME AS REGISTERED LOCATION NATURE OF BUSINESS:SPEC HOME CONSTRUCTION START DATE:10/2015 APX # OF HOURS PER WEEK:VARIES APX # OF TRADING HOURS PER WEEK:VARIES POS:PRESIDENT ; DUTIES:BUSINESS MANAGEMENT 5) NAME:NAUTILUS HOLDINGS INC INV. RELATED: NO ; SAME AS REGISTERED LOCATION NATURE OF BUSINESS:RENTAL PROPERTY START DATE:8/2009 APX # OF HOURS PER WEEK:VARIES APX # OF TRADING HOURS PER WEEK:VARIES POS:PRESIDENT ; DUTIES:BUSINESS MANAGEMENT 11) NAME:JRS ENTERPRISES INC INV. RELATED: NO ; SAME AS REGISTERED LOCATION NATURE OF BUSINESS:SPEC HOME BUILDING START DATE:12/2015 APX # OF HOURS PER WEEK:VARIES APX # OF TRADING HOURS PER WEEK:VARIES POS:PRESIDENT ; DUTIES:BUSINESS MANAGEMENT 12) NAME:GR & RR HOLDINGS LLC INV. RELATED: NO ; SAME AS REGISTERED LOCATION NATURE OF BUSINESS:SPEC HOME BUILDING START DATE:3/2017 APX # OF HOURS PER WEEK:VARIES APX # OF TRADING HOURS PER WEEK:VARIES POS:PRESIDENT ; DUTIES:BUSINESS MANAGEMENT 6) NAME:226 NAPOLI LLC; INV. RELATED:NO; SAME AS REGISTERED LOCATION; NATURE OF BUSINESS:RENTAL PROPERTY; START DATE:02/2020; POSITION/TITLE/RELATIONSHIP:OWNER; APX # OF HOURS PER WEEK:1; APX # OF HOURS DURING TRADING HOURS:1 ; DUTIES:RENTAL PROPERTY; 7) NAME:384 SCUDDER AVE CORP; INV. RELATED:NO; SAME AS REGISTERED LOCATION; NATURE OF BUSINESS:RESIDENTIAL CONSTRUCTION; POSITION/TITLE/RELATIONSHIP:OWNER / PRESIDENT; START DATE:09/2020; APX # OF HOURS PER WEEK:14; APX # OF HOURS DURING TRADING HOURS:14; DUTIES:SINGLE FAMILY HOME;
CRS (Client Relationship Summary) - RIA
Click below to view Richard Alan Rosenbusch'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
May 21, 2021 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 77 Broadway, Amityville, NY 11701RIA
CRD#: 105644
AMITYVILLE, NY
Current
August 25, 1999 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 77 Broadway, Amityville, NY 11701BD
CRD#: 10358
Amityville, NY
Past
January 12, 1996 - September 2, 1999
TRUSTED SECURITIES ADVISORS CORP.
BD
CRD#: 24049
NEW YORK, NY
Past
July 27, 1988 - December 10, 1990
GMST WORLD MARKETS, INC.
BD
CRD#: 16190
LAKE MARY, FL
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.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(1/2/2019)
RR
Florida(8/27/1999)
RR
New York(8/25/1999)
IAR
New York(5/21/2021)
RR
Ohio(1/2/2019)
RR
South Carolina(7/21/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
