Richard M. Rosso

RIA ADVISORS

Houston, TX 77079

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CRD#: 1963110

Professional summary

Richard Michael Rosso, CFP®, CIMA® is a registered financial advisor currently at RIA ADVISORS located in Houston, Texas.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Richard has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 8 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 Michael Rosso'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®

CFP^®

Certified Financial Planner

Start date: 1998

CIMA^®

Certified Investment Management Analyst

Experience

Current

November 19, 2012 - Present

RIA ADVISORS

Office #1: 11750 Katy Freeway Suite 840, Houston, TX 77079

RIA

CRD#: 150661

Houston, TX

Past

October 5, 1998 - September 28, 2012

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

HOUSTON, TX

Past

October 2, 1998 - September 28, 2012

CHARLES SCHWAB & CO., INC.

CRD#: 5393

HOUSTON, TX

Past

May 16, 1990 - October 14, 1998

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

July 10, 1989 - January 16, 1990

J. T. MORAN & CO., INC.

CRD#: 15655

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".

RIA ADVISORS

CRD#: 150661 / SEC#: 801-77832

RIA

Registered Investment Advisory firm - (4/16/2013 Approved)

Arizona

Registered Investment Advisory firm - (4/23/2013 Terminated)

Louisiana

Registered Investment Advisory firm - (4/25/2013 Terminated)

Oklahoma

Registered Investment Advisory firm - (4/23/2013 Terminated)

Texas

Registered Investment Advisory firm - (4/23/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Texas
(11/19/2012)

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: 4/30/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/10/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/17/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 6/23/1997

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

RIA ADVISORS

CRD#: 150661 / SEC#: 801-77832

RIA

Registered Investment Advisory firm - (4/16/2013 Approved)

Arizona

Registered Investment Advisory firm - (4/23/2013 Terminated)

Louisiana

Registered Investment Advisory firm - (4/25/2013 Terminated)

Oklahoma

Registered Investment Advisory firm - (4/23/2013 Terminated)

Texas

Registered Investment Advisory firm - (4/23/2013 Terminated)

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Contact information

Main Address

11750 Katy Freeway Suite 840, Houston, TX 77079

Mailing Address

Phone number

(281) 501-1791

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 - CLARITY FINANCIAL, LLC (5/5/2025)

Regulatory assets under management

Total Number of Accounts	3,581
AUM (Assets Under Management)	$ 1,530,453,633

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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Firm Stability Insights

Richard M. Rosso

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Michael Rosso's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

BNY MELLON SECURITIES CORPORATION

J. T. MORAN & CO., INC.

Primary Firm SEC Registration

RIA ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 4/30/1997

Series 63

Date: 7/10/1989

Series 7

Date: 6/17/1989

Series 8

Date: 6/23/1997

Current Firm

RIA ADVISORS

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RIA ADVISORS

TRUST BUT VERIFY

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